1. Key Terms
•Government: procedures and institutions by which
people govern and rule themselves.
• Why Is Government Necessary?
Order Authority
Liberty Legitimacy
•Politics: the process by which
people decide who shall govern
and what policies shall be
adopted.
•Politicians: people who fulfill
the tasks of operating
government.
“Politicians are like diapers. They both need changing regularly
and for the same reason.” - Anonymous

2. Key Terms
Forms of Government
• Totalitarian • Theocracy
• Authoritarianism • Oligarchy
• Aristocracy • Monarchy
• Democracy • Anarchy
Derived from the Greek words demos
(“the people”) and kratos (“authority”).

3. Key Terms
•Political Science: the study of the principles,
procedures, and structures of government; and
the analysis of political ideas, institutions,
behaviors, and practices.
•Democracy: a political form of
government carried out either
directly by the people or by
means of elected representatives
of the people, with free and
frequent elections.
“Democracy is not so much a form of
government as a set of principles.” Thomas Jefferson, one of our
best-known champions of
- Woodrow T. constitutional democracy
Wilson

4. Whose Words are These?
“Political competition is the
heartbeat of democracy…”
“Today, the quality of our state
does not match civil society’s
readiness to participate in it.”
“The problem…comes from the
lack of transparency and
accountability of government...”

5. Defining Democracy
Democracy Direct Democracy
Government by the people, Government in which citizens
either directly or indirectly, vote on laws and select
with free and frequent officials more directly
elections
Representative Democracy Constitutional Democracy
Government that derives its Government that enforces
powers indirectly from the recognized limits on those who
govern and allows the voice of the
people, who elect those who
people to be heard through free,
will govern
fair, and relatively frequent
elections

6. Direct Democracy
• Political decisions are • Initiative
made by the people
• Referendum
directly, rather than by
their elected • Recall
representatives
• Attained most easily in
small political
communities.
(AP Photo/Nam Y. Huh)

7. American Government and
Politicians in Context
•Government by the people requires faith
concerning common human enterprise.
•Constitutional democracy requires constant
attention to protecting the rights and opinions
of others.
•Constitutional democracy is necessarily
government by representative politicians.
Is Direct Democracy Dangerous?

8. A Democratic Republic
Democratic republic and representative
democracy really mean the same thing -
government based on elected
representatives - except for the historical
quirk that a republic cannot have a
vestigial king. (National Portrait Gallery)
• Principles of Democratic Government
– Universal suffrage
– Majority rule
• Constitutional Democracy
– Limited government

9. Defining Democracy
• Conditions Conducive To Constitutional
Democracy
•Educational conditions - Democracy puts a
premium on education
•Economic conditions - Extremes of poverty and
wealth undermine the possibilities for a healthy
constitutional democracy
•Social conditions - Overlapping associations and
groupings, so that allegiance to one group is not
overpowering
•Ideological conditions - Acceptance of the
ideals of democracy and a willingness from the majority to
proceed democratically

10. Defining Democracy
• Democracy As A System Of Interacting
Values
• Personal liberty
Democracy
• Respect for the
individual
• Equality of Demos Kratos
(The People) (authority)
opportunity
• Popular consent
Government by
These basic values of democracy do the People
not always coexist happily.

11. Defining Democracy
•Democracy As A System of Interrelated
Political Processes
•Fair and free elections
•Majority rule
•Freedom of expression
•The right to assemble and protest
“Democracy encourages the majority to decide things about
which the majority is blissfully ignorant.” - John Simon

12. Defining Democracy
•Democracy As A System Of
Interdependent Political Structures
•Federalism
•Separation of powers
•Bicameralism
•Checks and Balances
•Bill of Rights

13. Separation of Powers

14. The Constitutional Roots of the
American Experiment
•The Colonial Beginnings
•Mayflower Compact - Legalized the Pilgrim’s position as
a body politic
•Colonial assemblies - Every colony in the New World had
an assembly
•The Rise of Revolutionary Fervor
•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.

15. Chronology of Events
American Revolution begins on 04/18 /1775
Second Continental Congress convenes on 05/10/1775
Ben Franklin presents a plan for confederation on 07/21/1775
Richard Henry Lee introduces independence resolution on 06/07/1776
Declaration of Independence adopted on 07/04/ 1776 – “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.”
Third Continental Congress convenes on 12/20/1776
Articles of Confederation proposed on 11/15 /1777
Articles of Confederation ratified on 03/01/1781
English declare hostilities at an end on 02/04/1783
America declares hostilities at an end on 04/11/1783
Revolutionary War Ends (Treaty of Paris) on 01/14/1784
Constitutional Convention opens on 05/25/1787
Final draft of the Constitution sent to Congress on 09/17/1787

16. The Colonial Background
Separatists were dissatisfied
with the Church of England
and sought a place where they
could practice their religious
beliefs.
The compact they formed set
forth the idea of consent of (The Granger Collection)
the governed.

17. British Restrictions & Colonial Grievances
In 1763, the British Parliament began to pass laws that
treated the colonies as a unit. The major reason for these
laws was to raise revenue to help pay off the war debt
incurred during the French and Indian Wars (1756–1763).
First Continental Congress
The focus was to restore the political structure that was in
existence before the passage of legislation affecting the
internal operations of each colony by Parliament.
Had the Crown and Parliament relented on many of their
demands it is possible the Declaration of Independence
would never have been issued.

18. Second Continental Congress
Established an army
Made Washington the
general in chief and
pursued the
Revolutionary War
Painting by John Trumbull, 1819, Library of Congress

19. The Political Theory and Practices of the
Revolutionary Era
• Conflicts over the meaning of democracy and
liberty in the new nation
– Initially, the Revolution was fought to preserve an
existing way of life.
– Traditional rights of life, liberty, and property seemed
to be threatened by British policies on trade and
taxation.
– The Revolution was inspired by a concern for liberty
together with the development of sentiments for
popular sovereignty and political equality.

20. Prelude to the Declaration of
Independence
• Delegates to the Second Continental Congress did not
originally have independence in mind.
• By the spring of 1776, delegates concluded that
separation and independence were inescapable.
• A special committee was appointed to draft a declaration
of independence.
• The Declaration of Independence was unanimously
adopted by the Second Continental Congress on July 4,
1776.

21. The Rise of Republicanism
Republicanism vs. The Republican Party
While republicans were opposed to rule by the
British, they were also opposed to rule by any
central authority. They were even skeptical of
a permanent union of the states.
Each state was seen as the sovereign authority
and the only legitimate ruling force.

22. The Declaration of Independence
The Influence of John Locke
Natural Rights
Social Contract
© Archivo Iconografico S.A. /Corbis
© Bettmann /Corbis

23. Key ideas in the Declaration of
Independence
• Human beings possess rights that cannot be
legitimately given away or taken from them.
• People create government to protect these
rights.
• If government fails to protect people’s rights or
itself becomes a threat to them, people can
withdraw their consent from that government
and create a new one

24. Omissions in the Declaration of
Independence
• Did not deal with the issue of what to do about
slavery
• Did not say anything about the political status
of women, Native Americans, or African
Americans who were not slaves

25. The Articles of Confederation:
Our First Form of Government
States retained most of
the power
Citizens loyal to their
state
The Confederal
Government
Structure Under the
Articles of
Confederation
Library of Congress

26. The Articles of Confederation: The
First Constitution
• Provisions of the Articles
– A loose confederation of independent states
– Weak central government
• Shortcomings of the Articles
– Indebtedness and inability to finance its activities
– Inability to defend American interests in foreign affairs
– Commercial warfare among the states

27. Accomplishments Under the Articles
Articles established to:
Organize the states so they could defeat the British
forces
Gain independence from Britain
Weaknesses of the Articles
Still no central authority to resolve disputes between the
states. To organize the states for the collective good,
including the organization of a militia, was crucial to the
development of the Constitutional Convention.

28. The Constitutional Roots of the
American Experiment
•Toward Unity and Order
•The Articles of Confederation - Adopted on March 1, 1781
to bring the thirteen states together while allowing each state to
remain independent
•Shays’s Rebellion - Economic depression of mid-1780s
•Daniel Shays - Rallied farmers to demand change from
government
•Tensions Over Big Government Today
• How much power should the American government have and what
role should it play in the lives of citizens?

29. Shay’s Rebellion,
1786
Widespread economic problems
among farmers at the end of the
Revolutionary War
Nonpayment of taxes and debts led
to foreclosure proceedings and
imprisonment for debt.
© Bettmann/Corbis
• Farmers in western Massachusetts took up arms to prevent
courts from meeting
• Armed farmers led by Captain Daniel Shays forced the ill-
equipped state militia to withdraw.
• By the spring of 1787, special armed forces recruited from the
Boston area defeated the rebels.

30. Aftermath of Shay’s Rebellion
• Shay’s Rebellion reinforced the fears of national leaders
about the dangers of ineffective state governments and
of popular democracy out of control.
• In this climate of crisis, a call was issued to meet in
Philadelphia to correct defects in the Articles of
Confederation.
• Delegates to the Philadelphia convention were instructed
to propose revisions for the Articles of Confederation,
but they wrote an entirely new constitution instead.

31. Why the Founders Were Worried
• An Excess of Democracy in the States
– In the mid-1780s, popular conventions were
established to monitor and control the actions of state
legislators.
– The Pennsylvania state constitution replaced the
property qualifications as a requirement to vote with a
very small tax.
• The Threat to Property Rights in the States
– Popular opinion
– Stay acts
– Shay’s Rebellion

32. The Articles and the Constitution

33. Convening the Constitutional Convention
• Consensus that a new Constitution was
desperately needed
• Yet, growing concern by influential citizens
about democratizing and egalitarian
tendencies

34. The Constitutional Convention
• By 1787, most of America’s leaders were
convinced that the new nation was in great
danger of failing.
• Delegates to the Constitutional Convention
– Wealthy men, well-educated, landowners
– Young, but with broad experience in American politics
– Familiar with the great works of Western philosophy
and political science

35. Debate Over the Intentions of the
Framers
• Historian Charles Beard: The framers were engaged in
a conspiracy to protect their personal economic
interests.
• Although the reality is surely more complex, broad
economic and social-class motives were
likely important.
Factions Among Delegates
The beliefs of the delegates ranged
from the near-monarchism of Hamilton
to definite decentralized republicanism.
© Archivo Iconografico, S.A./Corbis

36. The Constitutional Convention of
1787

37. Consensus Among the Delegates
• Agreement that a new constitution must replace the
the Articles of Confederation
• Republican form of government
• Support for a substantially strengthened national
government
• Concern that a strong national government is
potentially tyrannical
• Belief in a republican form of government based on
popular consent
• Desire to insulate government from public opinion
and popular democracy

38. TABLE: The Virginia and New Jersey Plans
Virginia Plan New Jersey Plan
Legitimacy derived from Derived from states, based
citizens, based on popular on equal votes for each
representation state
Bicameral legislature Unicameral legislature
Executive size More than one person,
undetermined, elected removable by state
and removable by majority
Congress
Judicial life tenure, able to No Judicial power over states
veto state legislation

39. Table: The Virginia and New Jersey Plans
Virginia Plan New Jersey Plan
Legislature can override Government can compel
state laws obedience to national laws
Ratification by citizens Ratification by states
A Council of Revisions to A “Supremacy clause”
review national laws similar to Article VI of
Constitution

40. Disagreement Among the Delegates
• Representation of the states in the legislature
• Status of slavery
• Selection of the President
Overall, Conflict Often Centered Around Disagreements
Between Large and Small States.
Slavery
• Three-fifths Compromise
• Enactments against the slave trade were prohibited until
the year 1808, but a tax or duty on such importation was
permitted.
• Return of runaway slaves
Overall, these provisions explicitly recognize the legal
standing of slavery

41. Conflict and Compromise:
The Conflict The Compromise
State-based approach versus an House of Representatives:
individual-based approach Proportional; Senate: Equal number
of representatives from each state
The Conflict The Compromise
The fact that Northerners hated slavery Slaves counted as three-fifths of a
worried Southerners, who feared that free person; protection of the
their greater representation in Congress Atlantic Slave Trade for at least 20
would be used to end slavery
years
The Conflict The Compromise
Southerners feared that the North’s Slaves counted as three-fifths of a free
greater representation in Congress person in determining representation in
would be used to end slavery the House of Representatives;
protection of the Atlantic slave trade for
at least 20 years

42. Understanding the Constitution — What
the Framers Created
• Republican form of government
– Popular consent and some popular participation, but
barriers to majoritarian democracy
Library of Congress
– Purposes and powers of government
limited
The Madisonian Model
Separation of powers
Checks and balances

43. The Struggle to Ratify the Constitution
• Delegates had been instructed to propose
alterations to the Articles of Confederation, but
they wrote an entirely new Constitution instead.
• Ratification was a difficult process.
– Federalists — favored
ratification
– Anti-Federalists — opposed
ratification

44. To Adopt or Not to Adopt?
•Federalists Versus Antifederalists
•The Politics of Ratification
The Federalist Papers
– James Madison
– Alexander Hamilton
– John Jay
The “Brutus” Essays

45. Ratification of the U.S. Constitution
State Date Vote
Delaware December 7, 1787 30 - 0
Pennsylvania December 12, 1787 46 - 23
New Jersey December 18, 1787 38 - 0
Georgia January 2, 1788 26 - 0
Connecticut January 9, 1788 128 - 0
Massachusetts February 6, 1788 187 - 168 *
Maryland April 28, 1788 63 - 11
South Carolina May 23, 1788 149 - 73 *
New Hampshire June 21, 1788 57 - 46 *
Virginia June 25, 1788 89 - 79 *
New York July 26, 1788 30 - 27 *
North Carolina November 21, 1789 194 - 77 *
Rhode Island May 29, 1790 34 - 32 *

46. Ratifying Amendments
The Time for Ratification of the 27 Amendments to the Constitution

47. Four ways to Amend the Constitution

48. Four ways to Amend the Constitution
• Cope with any new and unforeseen problem
• Taken on with extreme caution
• Rigorous process

49. Amending the Constitution
• Although 11,000 amendments have been
considered by Congress, only 33 have been
submitted to the states after being approved,
and only 27 have been ratified since 1789.
11,000 27
The Bill of Rights
• A “Bill of Limits”
• No explicit limits on state government powers
• Did not apply to state governments