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AMERICAN GOVERNMENT Readings and Cases, 12th edition
by Peter Woll
Prepared by Stephen Rockwell
Introductory Note
This Study Guide is for Peter Woll's American Government: Readings and Cases, 12th Edition.
It cannot serve as a substitute for reading the selections in the text. While the Study Guide outlines the selections major points and lines of reasoning, there can be no replacement for reading and understanding the pieces in their original form. Many of the authors' important arguments, examples, and observations are not mentioned in the Study Guide.
The Study Guide is best used to enhance the student's understanding of the original texts. Used with the text, the Guide can help the student identify both the major points in the selections and how these points fit into the authors' reasoning. Main arguments are highlighted with an asterisk; points of significance are offset with a dot and followed by supporting points. This format can also be used to help students learn how to take notes as they read, as well as to help them outline their own arguments for use in papers and essays.
Table of Contents
Introductory Note
THE SETTING OF THE AMERICAN SYSTEM
CONSTITUTIONAL GOVERNMENT
1. John Locke, Second Treatise, Of Civil Government
2. John P. Roche, The Founding Fathers: A Reform Caucus in Action
3. Charles A. Beard, Framing the Constitution
4. James Madison, Federalist 47, 48, 51
5. Laurance H. Tribe and Michael C. Dorf, How Not to Read the Constitution
Federalism
6. Alexander Hamilton, Federalist 16, 17
7. James Madison, Federalist 39
8. Alexis de Tocqueville, Democracy in America: The Federal Constitution
9. McCulloch v. Maryland (1819)
10. Morton Grodzins, The Federal System
11. Alice Ann Rivlin, The Case for Rethinking Federalism
Chapter 3
CIVIL LIBERTIES AND CIVIL RIGHTS
POLITICAL PARTIES, ELECTORAL BEHAVIOR, AND INTEREST GROUPS
Chapter 4
POLITICAL PARTIES AND THE ELECTORATE
Chapter 5
INTEREST GROUPS
NATIONAL GOVERNMENTAL INSTITUTIONS
Chapter 6
THE PRESIDENCY
Chapter 7
THE BUREAUCRACY
CONGRESS
THE JUDICIARY
CHAPTER 1
CONSTITUTIONAL GOVERNMENT
Second Treatise, Of Civil Government (1690)
Main Argument and Locke's Reasoning: Individuals have the natural right to "life, liberty and property." -- "natural rights" exist prior to entering into civil society or to agreeing to be bound by the authority of government (they have them in a "state of nature").
However, for protection of rights in a state of nature, "there are many things wanting." Therefore, individuals enter into society and consent to government in order to protect rights. Legitimate government is based on consent, and it remains legitimate only insofar as it furthers these ends (protection of life, liberty and property}. Significance:
1 Foundation for US Constitution:
-- Locke's work, with its emphasis on natural law and natural rights, constitutes an important precursor to eighteenth century beliefs in reason and scientific progress. -- The framers' establishment of a constitutional democracy owes much to Locke. 2 Legislative Supremacy and the Right to Revolt:
-- These premises (natural rights, consent) imply legislative supremacy (laws made by representatives). If government violates the trust placed by the people, then "the people shall judge." (In other words, there is a right to revolution against illegitimate government).
Sample Question
Human beings have natural rights
a) before they enter into the social compact
b) only after they enter into the social compact
c) only when in a state of revolution
d) only under an established government
The Founding Fathers: A Reform Caucus in Action
Main Argument:
* Roche sees Constitutional Convention as a democratic reform caucus Roche's Reasoning:
1 The principles of the Constitution were based on political tradeoffs among state interests a. framers were all nationalists, and therefore ideologically similar
b. the Convention was one of compromise to reach a consensus result that could be sold to the people back home
Significance:
2 Roche revises two previous notions of the Constitutional framers as
a. all-wise Platonic guardians adhering to abstract principles of political theory
b. an economic elite protecting their economic interests
Sample Question
John Roche interprets the Constitutional Convention as
a) a meeting of elite leaders seeking to limit popular rebellion
b) a caucus of like-minded people aimed at strengthening the national government
c) a gathering of wise political theorists adhering to abstract notions of government
d) a mixed group of people with a wide variety of intentions for government
Framing the Constitution
Main Argument:
1 The framers were an economic elite out to protect their own property against popular majorities
Beard's Reasoning:
2 The framers were an elite consisting of landholders, creditors, merchants. lawyers, public bondholders
Significance: 1 The Constitution is antimajoritarian
2 Roche and Beard disagree on the motivations and actions of the Constitution's framers
3 Beard's evidence does not support his argument
Sample Question
Charles Beard's argument
a) is at odds with John Roche's interpretation of the Constitutional Convention
b has been criticized because its evidence is not sound
c) sees the framers of the Constitution as a self-interested elite
d) all of the above
Federalist 47, 48, 51
Main Argument (# 47):
1 The separation of powers protects liberty.
Criticism and Madison's Response:
1 Critics of the proposed Constitution allege that the new document does not adhere to the maxim, because in it legislative, executive and judicial powers are intertwined.
2 On the contrary, Madison argues, the separation of powers does not require total separation. The concept means only that one branch not be able to control another completely. Giving each branch "partial agency"-- overlapping powers-- in the others is essential to the Madisonian framework.
Main Argument (# 48):
1 Creating "parchment barriers" in the Constitution won't be enough to maintain separation of powers and the liberty separation of powers protects.
Madison fears that, in a government founded on popular sovereignty, the legislative branch will be the most powerful.
Main Argument (# 51):
1 "Ambition must be made to counteract ambition."
Madison's Reasoning:
1 Each branch of government should have a will of its own and be as independent as possible. Each branch must also be given the means to resist encroachments from the others -- For example, since the legislature is the most to be feared, Madison points out that the framers divided it into two houses (bi-cameralism), and the executive was given a veto over legislation.
2 The ambition of each branch to protect its power and its independence, together with overlapping responsibilities among the branches, ensures that no branch will become dominant and dangerous.
Madison's view of human nature, here as in Federalist 10, is best seen as realistic or skeptical, but not completely pessimistic (people may sometimes act as "angels," but one can't count on it). Sample Question
According to Madison, the three branches of government
a) must be completely separate
b) should never be encouraged to compete with each other
c) can share powers and jurisdictions
d) are subordinate to the authority of the states
5. Lawrence Tribe and Michael C. Dorf
How Not to Read the Constitution
Main Argument:
Interpreting the Constitution necessarily involves "looking beyond the specific views of the Framers."
Tribe and Dorf's Reasoning:
1 The Constitution is a framework for "balancing liberty against power."
2 Adapting the Constitution's framework to our changing needs and values is difficult and complex.
3 However, the difficulty in interpreting our constitutional tradition doesn't suggest that judges should simply impose their own views.
Sample Question
Tribe and Dorf see the Constitution as
a) a set of firm rules for ordering society
b) a framework for dealing with complex questions
c) relatively unimportant in contemporary life
d) ambiguous to the point that judges must use their own ideas to give it substance
CHAPTER 2:
FEDERALISM
Federalist 16 and 17
Main Argument (# 16):
1 The current confederacy is near "anarchy" and therefore close to "death." No national authority can pursue national interests; those seeking to pursue national aims quickly confront the prospect of war between states.
2 A new federal government is required to remedy current defects: defects include the lack of national executive and judicial authority; lack of tax power; lack of power to regulate interstate commerce
3 The new national authority must operate directly upon individuals, not just upon "states"; it must "carry its agency to the persons of the citizens".
Criticism and Response (# 17):
1 Critics feared that the national government would be too powerful, and that it might "absorb" the states.
2 Hamilton responds by arguing that the state governments will be closer to the people and have authority over a wider sphere of human activity than the national government.
Sample Question
Hamilton argues that the new national government
a) will not absorb the states because the states are closer to the people
b) must have all of the states' former powers in order to save the union
c) is unnecessary, and that the nation should return to the Articles of Confederation
d) should act only upon the states, and leave the people alone
Federalist 39
Main Argument:
1 The new national government is both "federal" and "national"
By "federal," Madison means "based on the states as sovereign political entities."
By "national," he means "based on a direct link between the national government and the individual citizen."
In other words, the national government's relationship to the states makes it federal while its relationship to the people makes it national
Madison's Reasoning:
Madison demonstrates this federal v. national distinction in different parts of the Constitution:
(1) the foundation of the new government, or how it will be ratified: ratification is by the states, and is therefore federal
(2) source of ordinary powers:
(a) The House's powers are from the people, therefore national;
(b) The Senate's powers come from the states, therefore federal;
(c) The President's powers come from both federal and national elements
(3) the operation of government:
- when the national government acts, it acts directly on the people--therefore national
(4) the extent of national government powers:
-- they are limited by the states' powers--therefore, federal
(5) process of amending the Constitution (See Article V):
-- again, both federal and national characteristics.
Madison also notes the ways in which the Constitution conforms to republican principles
Sample Question
Madison argues that the new government under the Constitution is
a) national, in that it is based on a direct link to citizens
b) federal, in that it is based on the states as sovereign political entities
c) both A and B
d) neither A nor B
Democracy In America: The Federal Constitution
Main Argument:
American federalism seems to work because of:
1 the pragmatism and political skills of the American people
2 common social and cultural characteristics among the states (common origins, common language, common interests, similar levels of economic development).
Tocqueville's Observations:
1 Tocqueville was an aristocratic, French observer of American politics and society. He visited the U.S. in 1831-1832.
2 He highlighted the problem of "the tyranny of the majority" in democratic, egalitarian societies. While the framers relied upon governmental structure (separation of powers, federalism) to guard against this problem, Tocqueville tended to see "mores" (cultural norms and values) as equally if not more important as the crucial insurance against any form of tyranny in the U.S.
3 Tocqueville discusses the benefits and burdens of small as opposed to large states ("states" meaning "countries"). He then evaluates "federalism" in the U.S. in these terms, and his discussion mirrors Madison's in Federalist #39.
4 Tocqueville notes that the U.S. represents a new kind of federal system in that
a) the national government not only makes laws, but also has its own independent enforcement mechanisms (state governments are not relied upon for enforcement)
b) the national government has independent power to provide for its own needs and financial support
Sample Question
In assessing the prospects for American federalism, Tocqueville relied on
a) his reading of American political character and social mores
b) the institutional structure laid out by the framers
c) the model currently in use in France
d) the writings of Jefferson and Franklin
9. McCulloch v. Maryland (1819)
Background:
Congress set up the Second National Bank in 1816. The State of Maryland levied a tax upon the bank. The bank refused to pay the tax.
Issues:
(1) Does Congress have the power under the Constitution to set up a national bank?
Yes: even though this power is not explicitly in the text of the Constitution, it is implied by the "necessary and proper" clause-- the national bank is a necessary means to other ends that are explicitly in the Constitution.
-- "Let the end be legitimate, let it be within the scope of the Constitution, and all means which are appropriate, which are plainly adapted to that end, which are not prohibited, but consist with the letter and spirit of the Constitution, are constitutional. . . . "
(2) Can the State of Maryland tax the bank?
No: because the power to tax is the power to destroy-- the states have no business taxing a national bank set up by Congress.
Significance:
1 Loose Construction
McCulloch v. Maryland is an example of "loose," or "elastic", interpretation of constitutional provisions. Here, specifically, we find a loose construction of the "necessary and proper" clause contained in Article I, Section 8, of the Constitution.
2 National Supremacy
The interpretation here, in an opinion by Chief Justice John Marshall, expands national power at the expense of the states.
Sample Question
The decision in McCulloch striking down Maryland's attempt to tax the national bank
a) relied on a strict reading of the text of the Constitution
b) was eventually overturned by the Supreme Court
c) was John Marshall's final decision
d) furthered the interests of national supremacy over the states
The Federal System
Main Argument:
Federalism involves shared powers and functions among federal, state, and local governments, with all seeking to influence the others.
Grodzins looks behind the formal notion of "separate levels" of government (a layer cake), to the informal arrangements by which all levels are simultaneously involved in the governmental process (a marble cake).
Grodzins' Reasoning:
1 Grodzins argues that this has always been the case. He thus disagrees with the commonly held view that in the 19th century we had "dual federalism" (substantial separateness), and in the 20th we moved to "cooperative federalism" (substantial interconnections with national dominance).
2 While acknowledging modern centralization, Grodzins points to current and still strong decentralizing forces in our system: especially the nature and characteristics of our parties and our party system, and resulting fragmentation in Congress
Sample Question
Morton Grodzins' image of the marble cake helps explain
a) the decentralizing forces in American government
b) the complex relationships between federal, state, and local governments
c) the informal nature of American federalism
d) all of the above
The Case for Rethinking Federalism
Main Argument:
1 The confused relationship between federal and state responsibilities
a. undermines confidence in government
b. impedes the restoration of a healthy national economy
2 The fundamental questions of federalism need to be reconsidered if the United States is to "revitalize its economy and . . . get its political system . . . functioning responsively again."
Rivlin's Reasoning:
Review of expansion in federal responsibilities between 1930s and 1980s:
-- caused by Depression and frustration with state and local governments
-- national government expected to be the problem-solver
-- 1980s' tax cuts and defense spending increase the budget deficit
-- national government's capabilities are increasingly limited
Four reasons for reexamining fundamental questions of federalism
1. Impact of global interdependence
2. The need for bottom-up reform in many problem areas
3. The need for more tax revenue
4. Dissatisfaction with government
$ Rivlin argues for clearly defined federal and state responsibilities
-- Rivlin is unhappy with the confusion of marble-cake style federalism (compare Grodzins' assessment of federalism)
-- Rivlin suggests national health insurance is a federal responsibility
-- Rivlin would eliminate federal programs in education, housing, highways, social services, economic development, and job training: the states are better equipped to take charge of these areas
Sample Question
Rivlin wants to cut federal programs in education and job training because
a) these problems are more appropriately addressed by states and localities
b) she opposes government intervention in social issues
c) the problems have, for the most part, been solved
d) government just doesn't work