Mr



Mr. McCormack

American Government

Central Dauphin High School

Chapter One

Principles of Government

I. Government and the State

A. The Meaning of Government

1. Government is the institution through which a society makes and enforces its public policies

a. The process of making public policies is known as politics

b. Public policies, usually called laws, can cover an almost infinite field of issues

i. The distribution of wealth and resources (taxation, welfare)

ii. The provision of general services (education, healthcare)

iii. Public order and safety (military defense, crime)

iv. The relationships between the government and the governed (civil rights)

v. The relationships between the governed (contracts, slavery)

vi. The relationship between the governed and other governments (travel, trade, environment)

c. Public policies should not be confused with social customs, norms, or traditions because none of them are enforced by the government’s power

2. Governments are made up of the people who exercise public powers and may be classified by how they operate

a. Dictatorship – those who exercise public power are independent from and cannot be held responsible to the will of the people

b. Democracy – those who exercise public power are dependent on and responsible to a majority of the people

B. The Meaning of State

1. Although commonly considered a synonym of nation or country, the word “state” has a specialized meaning in political theory

a. “Nation” refers only to ethnic groups (people sharing linguistic, religious, or other identifying characteristics) or other large, distinctive groups of people

i. Some nations dominate one or more states (i.e. Arabs over most of the Middle East)

ii. Some nations are spread throughout several states without controlling any (i.e. Kurds in Turkey and Iraq)

b. “Country” refers only to a particular place, region, or area of land

2. A state is defined by four elements

a. Population – a body of people

i. Generally, a state’s population should be permanent and self-sustaining

ii. A state’s population may be ethnically homogenous or diverse

iii. No minimum population has ever been fixed in international law

1. The least populous state recognized by the USA, Vatican City, has a population of about 900 people (mostly celibate men)

2. The most populous state recognized by the USA, People’s Republic of China, has a population in excess of 1.3 billion people

b. Territory – a defined geographical area of control

i. Border disputes or unfixed borders do not terminate a state

ii. Military occupation of a temporary or illegal nature does not terminate a state

iii. No minimum area has ever been fixed in international law

1. The smallest state recognized by the USA, Vatican City, controls only 109 acres (smaller than the city of Harrisburg, 8.1 square miles [1 square mile = 640 acres])

2. The largest state recognized by the USA, Russia, controls 6.6 million square miles

c. Government – institutions to make and enforce laws

i. A state may continue to be recognized even during periods of rebellion and anarchy (Somalia)

ii. The failure of a government (ex. Taliban of Afghanistan) to be recognized by other states does not terminate a state

d. Sovereignty – supreme and independent authority over its own affairs, both domestic and foreign

i. A state may voluntarily permit other states to exercise some control over its affairs, but cannot surrender the right to revoke the arrangement

ii. A state must assert its sovereignty (ex. Taiwan still claims to be a part of China, even though it satisfies all four elements of the definition of a state)

3. “State” must not be confused with the fifty states of the United States of America, which lack sovereignty

C. The Origins of the State

1. Governments have existed among people since pre-historic times, with the earliest evidence coming from ancient Egypt

2. Philosophers and historians disagree over how states developed

3. Four main theories attempt to explain the origin of the state

a. The Force Theory

i. A person or group forces everyone within an area to submit to their control

ii. Military dictatorships have ruled several states in recent history (i.e. Iraq, Panama)

iii. “The strong do what they have the power to do and the weak accept what they have to accept.” – Thucydides, The Melian Dialogue

b. The Evolutionary Theory

i. Governments naturally grew out of familial and tribal authorities

ii. Some modern states (i.e. Saudi Arabia) are still controlled by hereditary monarchies (governmental power passes between generations of the same family)

iii. “The first thing to arise is the family. When several families are united… the first society to be formed is called the village…. When several villages are united in a single complete community… the state comes into existence…. Hence it is evident that the state is a creation of nature, and that man is by nature a political animal.” – Aristotle, Nichomachean Ethics

c. The Divine Right Theory

i. States and governments are ordained by God

ii. This theory was extremely popular in most ancient and medieval societies around the world

1. Some leaders professed to be gods, others merely to have been chosen by God

2. The leaders of several modern states, including Vatican City and Iran, still profess to rule as agents of God

iii. “And Samuel said to all the people, ‘Do you see him whom the Lord has chosen, that there is no one like him among all the people?’ So all the people shouted and said, ‘Long live the king!’” – 1 Samuel 10:24

d. The Social Contract Theory

i. The state was created when people, seeking greater security, collectively agreed to surrender some of their individual liberty to a government

1. The theory established the idea that the people are the sole source of political power and that governments exist only to serve the will of the people

2. This theory promotes important democratic concepts like popular sovereignty, limited government, and individual rights

ii. This theory developed from the work of Thomas Hobbes, James Harrington, John Locke, and Jean Jacques Rousseau

iii. This theory has had the most influence on the government of the United States, as evidenced by the Declaration of Independence

iv. “The only way, whereby any one divests himself of his natural liberty, and puts on the bonds of civil society, is by agreeing with other men to join and unite into a community, for their comfortable, safe, and peaceable living one amongst another, in a secure enjoyment of their properties, and a greater security against any, that are not of it.” – John Locke, Second Treatise of Government

D. The Powers of Government

1. Power is defined as the ability to make others act according to your will

a. There are many potential sources of power

i. Coercion – the threat or act of violence

ii. Wealth – greed may influence behavior

iii. Numbers – individuals are less likely to resist the pressures of a group

b. Governments make their citizens do many things they would rather not

i. Pay taxes

ii. Serve in a military draft

c. The use of power must be seen as legitimate, or it will inspire resistance

i. Traditional Legitimacy – people accept the exercise of power because of custom or habit (i.e. kings)

ii. Charismatic Legitimacy – the person exercising power leads because of his amazing personal qualities (i.e. Julius Caesar, Napoleon, Hitler)

iii. Rational Legitimacy – people accept the exercise of power because they perceive it as coming from established principles of law and good order (i.e. elected officials, police, etc.)

iv. “…much safer to be feared than loved….”- Niccolo Machiavelli, The Prince

d. Politics may be understood as the arena in which powers strive for dominance

2. Every government exercises three basic kinds of power

a. Legislative – the power to make law

b. Executive – the power to execute, enforce, and administer law

c. Judicial – the power to interpret and determine the meaning of laws while settling disputes

3. The powers of government may or may not be outlined in a constitution (fundamental law)

4. Some governments (i.e. America’s) divide the powers among several institutions, but others do not

5. “The accumulation of all powers, legislative, executive, and judiciary, in the same hands, whether of one, a few, or many, and whether hereditary, self-appointed, or elective, may justly be pronounced the very definition of tyranny.” – James Madison, Federalist 47

E. The Purpose of Government

1. The Preamble to the United States Constitution identifies six purposes for our government

a. Form a More Perfect Union

i. The United States was governed under a document called the Articles of Confederation toward the end of the Revolutionary War (1781) until the ratification of the Constitution (1787)

ii. The loose union and weak government of the Confederation seemed unable to solve problems

iii. The Constitution promotes the belief that successful states require strong governments

b. Establish Justice

i. Defining justice can be difficult because its meaning is so subjective

ii. American justice means that the law, in both content and administration, must be reasonable, fair, and impartial

iii. While this standard has not always been met, our country continues to pursue the ideal

iv. “Justice is the end of government. It is the end of civil society. It ever has been and ever will be pursued until it be obtained, or until liberty be lost in the pursuit.” – James Madison, Federalist 51

c. Insure Domestic Tranquility

i. The government guarantees peace at home by controlling our behavior

ii. Anarchy, the condition of a state without a government, also known as the “state of nature,” was greatly feared by the Founding Fathers

iii. “Hereby it is manifest, that during the time men live without a common power to keep them all in awe, they are in that condition which is called war; and such a war, as is of every man, against every man. In such condition there is no place for industry; … no arts; no letters; no society; and which is worst of all, continual fear, and danger of violent death; and the life of man, solitary, poor, nasty, brutish, and short.” – Thomas Hobbes, Leviathan

d. Provide for the Common Defense

i. The government must protect the state from foreign enemies

ii. The government pursues this defense both militarily and diplomatically

e. Promote the General Welfare

i. The government promotes the general welfare by providing services of public benefit (i.e. environmental protection or public education)

ii. The government generally strives to be the servant of last resort; it will only perform functions that are not adequately performed by the voluntary acts of private individuals or groups

f. Secure the Blessings of Liberty

i. The government guarantees many individual rights and liberties (i.e. the Bill of Rights)

ii. Rights and liberties are not absolute, but relative to how their exercise might interfere with the rights and liberties of others in society

1. The government guarantees the freedom of speech

2. The exercise of free speech is limited by the injuries it might cause (i.e. shouting “Fire!” in a crowded theatre)

iii. The guarantees of liberty must be understood and defended by each generation or else they might be withdrawn

1. Patriotism, the love of one’s country, should inspire people to protect our state

2. Patriotism is the characteristic of a good citizen and the noblest passion

2. Other states, less firmly rooted in the social contract theory of government, might espouse other purposes for their governments (i.e. the promulgation of a particular religious faith, the annihilation of a neighboring state, etc.)

II. Forms of Government

A. No two forms of government have ever been exactly alike, but they may be classified based on certain basic characteristics

B. Three classifications are particularly important and useful

1. Who Can Participate

a. Democracy – government of the people, by the people, for the people

i. Supreme authority rests on the consent of the governed

ii. Democracies may be either direct or indirect

1. Direct Democracy (or “pure democracy”) exists where the will of the people is directly translated into law by the people themselves through mass meetings

a. No states are governed this way today, though small communities (i.e. Athens) practiced it in ancient times

b. Traces of direct democracy are still seen in legislation by ballot initiative and in town meetings

2. Indirect Democracy (or “representative democracy”) exists where the people delegate decision-making powers to a smaller group of representatives

a. The people express their support for public policies by periodically electing their representatives

b. Representative democracy is very similar to a republic, in that voters delegate their governing authority to representatives, but the eligibility to vote in a republic is more restricted than in a democracy, where it is universal

iii. “The masses are a feckless lot – nowhere will you find more ignorance or irresponsibility or violence. It would be an intolerable thing to escape the murderous caprice of a king, only to be caught by the equally wanton brutality of the rabble.” – Herodotus, The Histories

b. Dictatorship – government of the government, by the government, for the government

i. Supreme authority is independent of the consent of the governed

ii. Dictatorship is the oldest and most common form of government in history

iii. Dictatorships may be identified as autocracies or oligarchies

1. Autocracy – government by a single person with unlimited power

a. Few examples of autocracies exist today (Libya under Qaddafi, Cuba under Castro)

b. “Monarchy is neither pleasant nor good. How can one fit monarchy into any sound system of ethics when it allows a man to do whatever he likes without any responsibility or control? Even the best of men raised to such a position would be bound to change for the worse….” – Herodotus, The Histories

2. Oligarchy – government by a small group of (usually) self-appointed elites

a. Oligarchies may appear to be ruled by a single leader, but several factions (military, religious, ethnic, etc.) actually compete for political power

b. A good modern example is the People’s Republic of China

c. “In an oligarchy, the fact that a number of men are competing for distinction in public service cannot but lead to violent personal feuds…. Personal quarrels lead to civil wars, and then to bloodshed….” – Herodotus, The Histories

iv. Dictatorships may present the appearance of democracy by holding tightly controlled (i.e. single-party) elections

v. Dictatorships are often militaristic – they gain and maintain power by force, and may rely on foreign aggression for power and prestige (i.e. Saddam Hussein when he invaded Kuwait)

2. Geographic Distribution of Power

a. Unitary Government (Centralized Government)

i. All powers of the government belong to a single, central agency

ii. The central government may create, alter, and abolish local units of government for its own convenience

iii. Most governments in the world are unitary

1. Great Britain, where all authority ultimately rests in Parliament, is an example of a unitary government

2. Each of the fifty states of the United States has a unitary government

iv. Unitary governments should not be confused with dictatorships

b. Federal Government

i. All powers of the government are divided between a central and local governments

ii. An authority higher than the central or local governments must make the geographic division of powers

iii. Neither the central nor the local governments acting alone can alter the geographic division of powers

iv. Approximately thirty states, including the United States, have federal governments

1. The United States Constitution created a federal government, dividing powers between the national and state governments

2. Neither the national nor the state governments can alter the Constitutional division of powers by themselves

c. Confederate Government

i. A confederation is an alliance of independent states

ii. The central government of a confederation has only those powers given to it by the member states

iii. Historically, confederate governments have had limited powers over individuals (who are considered primarily citizens of the member states), but more responsibility for such concerns as defense and foreign affairs

iv. Confederations have always been rare, since most states put national interests ahead of the welfare of other states

1. The European Union is a modern example of a confederation

2. The Confederate States of America and the Iroquois League are two historical examples

3. Relationship Between Legislative and Executive Branches

a. Presidential Government – separate executive and legislative branches

i. The two branches are independent (neither plays a formal part in the election of the other)

ii. Both branches are considered equal participants in government

iii. Both branches have significant powers beyond the direct control of the other

iv. Both branches often have the power to check and balance the other

v. The United States was the first and remains the leading example of this form of government

b. Parliamentary Government – combined executive and legislative branches

i. The executive power is vested in a prime minister or premier by a majority of the legislature

ii. The prime minister and his cabinet members are also members of the legislature

iii. The executive will be replaced when it no longer enjoys the support of the majority of the legislature

iv. Most governments in the world follow the parliamentary model

1. An advantage of the parliamentary system is that it reduces the possibility of governmental gridlock that often results from divided government

2. A disadvantage of the parliamentary system is that it fractures the electorate to such an extent that the governments may not be very stable

3. Another disadvantage of the parliamentary system, particularly feared by the Founding Fathers, is that there will be too little restraint on the power of the legislature

III. Basic Concepts of Democracy

A. American democracy rests on five basic premises

1. Recognition of the fundamental worth of the every individual

a. Each human being has value and dignity

b. The welfare of a few individuals may be sacrificed for the common good on occasion (i.e. during a military draft), but that is an exception rather than a general principle of society (as it may be under different forms of government)

2. Equality of All Persons

a. Democracies promote equality of opportunity and equality before the law

i. No person should suffer discrimination based on race, color, religion, or sex

ii. All people should be free to develop themselves according to their talents and ambitions

iii. The government should not dispense privileges based on race, color, religion, sex, wealth, or social status

b. Democracies do not promote equality of condition

i. Economic and social differences will develop due to differences in aptitude and attitude

ii. Material resources will not be distributed equally

3. Majority Rule, Minority Rights

a. Majority rule attempts to find satisfactory solutions to public problems by enacting the popular will

b. Majorities may act unwisely or choose poorly, but mistakes will be corrected as the will of the majority shifts (trial and error)

c. Majorities will be tempted toward tyranny, so democracies preserve the rights of minorities to express their positions and participate in the political process

d. “Democracy is the recurrent suspicion that more than half of the people are right more than half of the time.” – E.B. White

4. Necessity of Compromise

a. In a state composed of many factions, when no faction amounts to a majority, some compromise will be necessary to achieve consensus on any issue

b. Compromise may not always result in the best decision, but it should result in the outcome that maximizes the majority’s satisfaction

5. Individual Freedom

a. Democracies limit individual freedoms when they would interfere with the freedoms of others

b. The authority of government and its restrictions on liberty should never be greater than absolutely necessary

B. Democracy and the Free Enterprise System

1. A government that protects political liberty should also promote economic liberty

a. Democracy promotes individual political liberty

b. Capitalism promotes individual economic liberty

2. Features of Free Enterprise (also known as capitalism, the private enterprise system, or the market-based system)

a. The means of production (raw materials, labor, etc.) are privately owned and free from government control

b. Individual needs and desires create a demand for goods and services that will be supplied by other individuals (entrepreneurs) according to the law of supply and demand

c. Entrepreneurs will attempt to maximize their profits by seeking to produce things as efficiently (cheaply) as possible while still satisfying their customers’ demands

d. Entrepreneurs will not be able to maximize their profits by inflating their prices for two reasons

i. Demand for a product diminishes as it becomes more expensive

ii. The higher margin of profits would tempt other entrepreneurs to compete for their business

e. Ultimately, the economy is regulated more by marketplace transactions than by the government

3. Some favor State Enterprise

a. The government owns all property and distributes wealth equally among all citizens

b. Variably known as Marxism, (after its originator, Karl Marx), socialism, and communism

c. “From each according to his ability, to each according to his need.” – Karl Marx

4. Mixed Economy – capitalism combined with governmental regulation and promotion

a. The government has always played various roles in the economy

i. The government is the largest employer in the state

ii. The government is often the dominant customer in the marketplace

iii. The government may provide goods or services that are not well provided by entrepreneurs

1. Education, research and development

2. Disease treatment and prevention

3. Transportation infrastructure

4. Postal, police, fire and rescue services

5. Currency and banking services

b. The government regulates private economic transactions for the public welfare

1. Completely unregulated economies (laissez-faire capitalism) produced many unsafe and unhealthy conditions

2. Unregulated economies occasionally undermined private enterprise because monopolies (companies that dominated an entire industry) could destroy their competitors

C. Democracy and the Internet

1. The Internet can be accessed by most Americans and would appear to be a new avenue for popular participation in public debates and decisions

2. Questions about the integrity and reliability of the Internet suggest that the era of relying on the web to perform any fundamental governing process (i.e. elections) remains remote

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