Introduction to Government
Week-8
The U.S. Government
Dr. Omer F. CINGIR
The Constitution of the
United States: A Living
Document
This presentation explores the history and evolution of the United States
Constitution, a document that has shaped the nation's political landscape and
continues to be a source of debate and interpretation.
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Constitutionalism: A Foundation of American Government
Government
The Power of the People State Constitutions Global Influence
Constitutionalism emphasizes the belief in Each of the fifty states has its own Constitutionalism has spread globally, with
belief in limiting governmental power constitution, further demonstrating the globally, with almost every country
power through a written charter, reflecting the importance of this principle in adopting a constitution, though their
reflecting the idea that the people hold American politics. forms and implementation vary.
hold ultimate authority.
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Functions of a Constitution
1 Government Organization 2 Granting Power
Constitutions grant power to
A constitution outlines the to governments, outlining their
structure of government, their authority to act, but also
answering key questions about also implying limits on that
its design and distribution of power.
power.
3 Protection of Rights 4 National Symbolism
Many constitutions include a bill A constitution can serve as a
a bill of rights or declaration of symbol of national identity,
of personal freedoms, embodying political values and
safeguarding individual liberties and becoming an object of
liberties from government veneration.
infringement.
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The Road to Nationhood: From
Declaration to Constitution
1 Declaration of Independence
The Declaration of Independence, adopted in 1776, declared the colonies' separation
from British rule and articulated principles of natural rights and consent of the
governed.
2 Articles of Confederation
The Articles of Confederation, adopted in 1781, served as the first national constitution,
but proved inadequate due to its weak central government and emphasis on state
autonomy.
3 Philadelphia Convention
The Philadelphia Convention, held in 1787, convened to address the shortcomings of
shortcomings of the Articles of Confederation and ultimately drafted the United States
United States Constitution.
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The Making of the Constitution: Challenges and
Compromises
Virginia Plan New Jersey Plan Great Compromise
Proposed a strong national government Advocated for modest changes to the Resolved the debate over representation by
government with a bicameral legislature Articles of Confederation, maintaining state representation by establishing a bicameral
legislature based on population, favoring dominance and equal representation. bicameral legislature with the House based
favoring larger states. based on population and the Senate with
with equal state representation.
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Ratification: A Nation Divided
Federalists Antifederalists Ratification
Supported the Constitution, advocating for a Opposed the Constitution, fearing a loss of The Constitution was ratified by nine states in
for a strong national government and arguing of state sovereignty and individual liberties, states in 1788, with Virginia and New York's
arguing for its ability to promote unity and liberties, and arguing for the importance of a York's subsequent ratification solidifying its
and stability. importance of a limited central government. its adoption.
government.
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Features of the Constitution: Republicanism,
Republicanism, Divided Powers, and
Federalism
Republicanism
The Constitution established a representative government, balancing democratic elements with safeguards against
safeguards against the excesses of majority rule.
Divided Powers
The Constitution divided power horizontally among the three branches of government and vertically between the
between the national government and the states.
Federalism
Federalism, the division of power between the national and state governments, aimed to protect individual liberties
individual liberties and prevent the concentration of power. [Link]
Adaptability: A Living Charter
1 Brevity and Elasticity 2 Necessary and Proper Clause 3 Emphasis on Procedure
The Constitution's brevity and use of
Clause The Constitution focuses on the
elastic language allow for The necessary and proper clause grants process of policymaking rather than
interpretation and adaptation to grants Congress implied powers, than dictating specific policies, allowing
changing circumstances and societal enabling it to address new challenges allowing for flexibility and adaptability
needs. challenges and expand its reach into adaptability to different eras and
into areas not explicitly mentioned in ideologies.
in the Constitution.
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Amendment of the Constitution: A Process of Change
Track 1 Initiation by Congress Two-thirds vote in both houses of Ratification by three-fourths of the
houses of Congress states
Track 2 Initiation by State Legislatures Application by two-thirds of the Congress calls a convention, which
states which proposes an amendment
amendment for ratification by
three-fourths of the states
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Federalism: A
Balancing Act
Federalism, a system where national and state governments share power, is
a cornerstone of the United States political system. In here, we explore the
intricate dynamics of federalism, examining its historical evolution, key
principles, and contemporary challenges.
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Federalism: A System of Shared Power
Federalism is a system of government where power is divided between a national government and state governments. This system
system allows for both unity and diversity, enabling the nation to address common challenges while respecting the unique need s of
needs of individual states.
National Government State Governments
Responsible for national security, foreign policy, and regulating Responsible for education, healthcare, law enforcement, and
regulating interstate commerce. other matters of local concern.
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The Evolution of Federalism
The relationship between the national and state governments has evolved significantly throughout American history. From the Articles of Confederation's weak central government to the expansion of national
of national power during the New Deal and Great Society eras, federalism has been shaped by historical events, economic changes, and political ideologies.
1 Articles of Confederation (1781-1789)
A weak central government with limited powers, leaving states with significant autonomy.
2 The Constitution (1789)
Established a stronger national government with delegated powers, while reserving certain powers to the states.
3 The Civil War (1861-1865)
Strengthened the national government and affirmed the supremacy of federal law over state law.
4 The New Deal (1933-1939)
Expanded the role of the national government in addressing economic and social issues.
5 The Great Society (1960s)
Further expanded national government involvement in social welfare programs.
6 New Federalism (1970s-present)
A shift towards greater state and local autonomy, with a focus on devolution of power.
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Models of Federalism
Two prominent models of federalism offer contrasting perspectives on the
relationship between national and state governments: dual federalism and
cooperative federalism.
Dual Federalism Cooperative Federalism
A model where national and A model where national and
state governments operate state governments collaborate
independently in their respective and share responsibilities in
respective spheres of influence. various policy areas.
influence.
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Legal Relationships: Defining the
Boundaries
The Supreme Court plays a crucial role in interpreting the Constitution and resolving
legal conflicts between the national and state governments. The Court's decisions have
shaped the balance of power between these levels of government.
1 Interstate Commerce 2 Fourteenth Amendment
Clause
The Court has applied most of the
The Court has broadly interpreted Bill of Rights to the states through
the interstate commerce clause, the Fourteenth Amendment's due
granting Congress significant power process clause, limiting state
power to regulate commerce power.
between states.
3 Equal Protection Clause
The Court has used the equal protection clause to ensure equal treatment under
under the law, including in areas like voting rights and education.
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Fiscal Relationships: The Power of the Purse
Fiscal relationships, particularly through federal grant programs, have become a significant aspect of federalism. These grants provide
funding to state and local governments for various programs and initiatives.
Grant Type Description
Categorical Grants Funds for specific purposes with strict guidelines and often
require matching funds.
Block Grants Funds for broad policy areas with greater discretion for recipients
in how they are used.
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Political Relationships: A Complex Web of Interests
Political relationships in the federal system are characterized by a complex interplay of interests, as officials at all levels advocate for their constituents and compete for resources.
Competition for Resources
States and localities compete for federal funding, often lobbying for projects and programs that benefit their regions.
Policy Differences
States may have differing views on policy issues, leading to conflicts with the national government or other states.
Evolving Dynamics
The balance of power between national and state governments is constantly shifting, influenced by political trends and economic conditions.
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Federalism Today: A Balancing Act
Continues
In the 21st century, federalism continues to be a dynamic and evolving system. States are increasingly taking
on innovative roles in policy areas, while the national government remains a significant player in shaping
national priorities.
State Innovation
States are experimenting with new approaches to education, welfare, and environmental protection.
Budgetary Constraints
Federal budget cuts have led to increased reliance on state and local resources.
Intergovernmental Tensions
Conflicts arise over the balance of power, funding, and policy mandates between levels of government.
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The Future of Federalism
The future of federalism is uncertain, as the balance of power between national and state governments continues to evolve. The
ongoing debate over the role of each level of government will likely shape the future of the American political system.
Key factors that will influence the future of federalism include:
• Economic changes and global competition
• Technological advancements and their impact on governance
• Social and demographic shifts
• Political ideologies and the balance of power
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Conclusion: A Vital System for a Diverse Nation
Federalism remains a vital system for a diverse nation like the United States. It allows for both unity and diversity, enabling the nation
nation to address common challenges while respecting the unique needs of individual states. The ongoing debate over the balan ce
balance of power between national and state governments is a testament to the dynamism and resilience of this system.
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Civil Rights
• The case of Luther Baldwin
Civil Rights
• The American constitution-makers' familiarity with Cicero, who had
foreseen in antiquity that leaders who would become popular by
manipulating the primitive tendencies of the people, such as security,
patriotism and tribalism, could destroy the institutions and values of the
Republic and transform the state into a state of individuals, heightened
their awareness of the threat of democratic gangsterism that could destroy
a republic under the guise of a party or with strong leadership. The
constitution, which placed Congress, not the head of state, at the centre of
the state and established an order based on the separation of powers for
the first time in history, was the product of this awareness. With the same
concern, the House of Representatives became the only institution formed
by direct popular vote. A system was established in which all other senior
state officials, from the Senate to the president, from judges to ministers,
were elected through two-stage and mutually supervised elections.
Civil Rights
• After the adoption of the Constitution by the Philadelphia Constitutional
Convention in September 1787, and during the two-year period following the
ratification vote of the 13 colonies, a unique publishing activity would begin to
discuss, explain, explain, explain, adopt and further develop the proposed
Constitution. Among these were the Federalist Papers, which would play a crucial
role in the evolution of the American revolution into a healthy republicanism and
the public's appreciation of the Constitution.
• The Federalist Papers, consisting of 85 articles written by the founding fathers
Alexander Hamilton, James Madison and John Jay under the joint pseudonym
‘Publius’ and published in various newspapers, especially New York newspapers,
between October 1787 and April 1788, would become a guiding source not only
for the emerging American republic, but also for all republics to be established
later and even for political science. As the Federalist Papers emphasised in the first
one, free intellectual debate in the media was an attempt to lead the people to
contemplation and the establishment of a good government of their own choice,
and to prevent them from having to endure indefinitely a political order that had
been accidentally established by coercion.
Civil Rights
• The First Amendment to the US Constitution set a clear limit on the power
of Congress and the state to guarantee absolute freedom of speech, belief,
press and protest against the state:
‘Congress shall make no law respecting an establishment of religion, or
prohibiting the free exercise thereof; or abridging the freedom of speech, or
of the press; or the right of the people peaceably to assemble, to protest, or
to complain against the government.’
• John Adams came to power at a time of strained relations with France and a
massive exodus of Irish Catholics. It was against these two threats that the
Federalist-dominated Congress passed the Alien and Sedition Act in June
1798, which made even drunken banter in a Newark tavern ‘an offence of
insulting the state and a public officer’.
• With the new law, the first official immigration regulation in American history was put
into practice. American immigration legislation was introducing the concept of
‘naturalisation’, which refers to acquired citizenship as well as natural-born citizenship.
Since a large portion of those who became citizens later on voted for the Republicans,
the conditions for gaining citizenship were being aggravated. The real purpose of this
immigration law, which was widely supported by the society, was hidden in its
provisional articles titled ‘Offences of Opposition to the State and Sedition’, which aimed
to crush the republican opposition. Any criticism, negative remarks and insults against
the state, the head of state, ministers and state officials, whether in the tavern or in the
newspapers, were to be criminalised as ‘treason’. Every claim and discourse that did not
accept official statements was labelled as being a tool of sedition and propaganda of
foreign powers.
• John Adams was actually an enlightened character who believed in freedom of
expression. He was a name that had been struggling against oppression, restrictions and
bans since his youth as a journalist. He was one of those who clearly opposed slavery in
an age when no one was against it. Together with his son, who would later become the
6th President of the USA, he was the only one among the first 12 presidents of the USA
who never owned a slave in his life.
• Anyone who criticises the President, Ministers, the Federal Government or
state officials can be prosecuted with a fine of up to $2000 and imprisonment
of up to 2 years. Less than 7 years after the First Amendment to the
Constitution, which stipulates that Congress ‘shall make no law prohibiting
freedom of speech’, many journalists, politicians and ordinary citizens have
been arrested and put on trial on charges such as ‘insulting the head of state’,
‘insulting the state’, ‘insulting a state official’, ‘objecting to the state’,
‘protesting against the state’, charges that are incompatible with the principles
of democracy and republic. Among those tried and convicted was even a
member of Congress who wrote an article criticising the policies of the Adams
administration. The Federalists, like Robespierre, argued that this law, which
suspended freedom of expression, protest and criticism, was necessary to
‘protect liberty’. Worst of all, a clause in the law made criticising the law a
crime against the state.
• The Federalist coalition began to disintegrate with important figures who saw
the grave consequences and objected. The pro-Jefferson Republican faction,
on the other hand, was turning into a real party with unjust lawsuits filed
against it. Adams became the first one-term president in American history
when the anti-liberty legislation he had enacted to absolutise his power
backfired. He lost the election of 1800, the first presidential election in which
two parties contested for the presidency. Jefferson won with the support of
some Federalists. Adams accepted the result even though he disliked it. With
the election of 1800, which had one of the dirtiest, tense and shady election
campaigns in American history, political power was passing peacefully from
one party to the other for the first time in history. The Republicans, who
gained a majority in the Congress, did not extend the Treason and Aliens Act,
which expired on 3 March 1801, the day before Jefferson's inauguration, and
put it on the shelf of history.
• On his first day as president, Jefferson was to sign a presidential pardon to
all those convicted under this law, apologising to them on behalf of the
state and clearing their records. Among those pardoned was Luther
Baldwin, a Newark labourer who wished that Adams had been hit in the
stomach by a cannonball.
• The concept of human rights is said to have three indispensable
requirements: They must be natural, not political in origin (acquired by
being born a human being); they must be equal (the same for everyone
regardless of religion, origin, sex, race, etc.); they must be universal (apply
everywhere).
• The 1776 American Declaration of Independence was the first declaration
of human rights to fit this description. And of course the French Declaration
of the Rights of Man and the Citizen in 1789... The common signature on
both declarations was Thomas Jefferson. He wrote the first one alone. He
drafted the second one together with LaFayette.
• Montesquieu was right: «In any country where there was no separation of powers, there could
never be freedom of expression.»
• In fact, the American Constitution was the first constitution in history based on the separation of
powers. However, since judges were appointed from among politicians in the early years of the
country's foundation, and since most of them were Federalists, the ruling party, a balance of
power that would make the separation of powers work had not yet been established. Two major
crises centred around the Supreme Court during the reign of the third President Thomas
Jefferson would turn the USA into a true ‘separation of powers’ country and save the American
Revolution from falling into the abyss into which the French Revolution had been dragged.
• The first was the decision of the US Supreme Court in the case of ‘Marbury v. Madison’ in 1803.
Even today it is recognised as the most important Supreme Court decision in American history.
After losing the presidency, Adams appointed Federalist judges to the district court judgeships
two days before he was to hand over office. Since most of these were confirmed by the Senate
on the same day, the appointment was completed. A few others had not yet been confirmed by
the Senate, as their appointments coincided with the handover of office. Newly elected
President Jefferson instructed Secretary of State James Madison, who would later become the
fourth president, that these vacancies remained vacant and that they would appoint new judges,
based on a statement in the law
• As a result of the lawsuit filed by a Federalist businessman named William
Marbury, who was not appointed as a judge, against James Madison, the
Secretary of State, who refused to execute the process, the Supreme Court
would issue its decision in 1803, finding Marbury right. However, much
more importantly, the Supreme Court would also rule that the law that led
to the suspension of the appointment process was contrary to the US
Constitution and would annul this law as well.
• ‘The existence of all freedoms depends on freedom of expression, and
freedom of expression can never be curtailed without its destruction.’