American GovernmentAmerican Government

Introductory LectureIntroductory Lecture

Three Fundamental ConceptsThree Fundamental Concepts

LiberalismLiberalism

RepresentationRepresentation

DemocracyDemocracy

What is Liberalism?What is Liberalism?

Liberalism as classically defined differs Liberalism as classically defined differs significantly from the modern American usagesignificantly from the modern American usage

It is a philosophy of social order that emerged in It is a philosophy of social order that emerged in 1717thth and 18 and 18th th century Europecentury Europe

Fundamentally it means Fundamentally it means – a toleration of diversitya toleration of diversity– a recognition of the primacy of individual rightsa recognition of the primacy of individual rights– a social agreement establishing a zone of individual a social agreement establishing a zone of individual

privacy privacy

Key Assumptions of LiberalismKey Assumptions of Liberalism

Assumes individuals are best situated to Assumes individuals are best situated to determine what is best for themselvesdetermine what is best for themselves

Assumes that a variety of behaviors, even Assumes that a variety of behaviors, even conflicting ones, are legitimateconflicting ones, are legitimate

Assumes that strong government interferes Assumes that strong government interferes with the ability of individuals to engage in with the ability of individuals to engage in those behaviorsthose behaviors

And thus concludes government should be And thus concludes government should be limitedlimited

What is Representation?What is Representation?

Representation is a type of government Representation is a type of government premised on liberalismpremised on liberalism

Diverse elements are represented in societyDiverse elements are represented in society Representation is the form of government Representation is the form of government

for the United Statesfor the United States The U.S. government is made up of The U.S. government is made up of

representatives – distinguished from a direct representatives – distinguished from a direct democracy where the government is made democracy where the government is made up of all citizensup of all citizens

What is Democracy?What is Democracy?

Democracy, unlike liberalism and representation, Democracy, unlike liberalism and representation, is an old wordis an old word

Greek Roots:Greek Roots:– Demos “The People”Demos “The People”– Kratia “Rule”Kratia “Rule”

Ancient Greeks used term as early as 400 B.C.Ancient Greeks used term as early as 400 B.C. IMPORTANT: in a democracy, the people rule as IMPORTANT: in a democracy, the people rule as

the government and thus the government the government and thus the government embodiesembodies the people the people

Representation vs. DemocracyRepresentation vs. Democracy

Representation is a relatively young wordRepresentation is a relatively young word Differs from ‘democracy’ as the Greeks Differs from ‘democracy’ as the Greeks

defined in significant ways:defined in significant ways:– Citizens do not make laws directlyCitizens do not make laws directly– A representative does not ‘embody’ the people A representative does not ‘embody’ the people

but rather re-presents their preferences in but rather re-presents their preferences in governmentgovernment

– Hinges on the assumption that there are a Hinges on the assumption that there are a diversity of legitimate interests in societydiversity of legitimate interests in society

Rep v. Demo 2Rep v. Demo 2

The Greeks would not have accepted The Greeks would not have accepted representation as a good form of representation as a good form of governmentgovernment– It is based in selfishness: the desire to further It is based in selfishness: the desire to further

individual interestsindividual interests– Government, according to the Greeks, was to Government, according to the Greeks, was to

benefit the wholebenefit the whole– See Aristotle, Plato and Spock from Star Trek See Aristotle, Plato and Spock from Star Trek

Path from Greek Democracy to Path from Greek Democracy to Liberal Representative GovernmentLiberal Representative Government

How did the Greek concept of democracy How did the Greek concept of democracy evolve into the modern concept of evolve into the modern concept of representation?representation?

The story begins with Athens, Greece circa The story begins with Athens, Greece circa 400B.C.400B.C.

Fundamentally, Greeks believe in a natural Fundamentally, Greeks believe in a natural order to the worldorder to the world

This is a highly normative assessment – This is a highly normative assessment – how it should be rather than how it ishow it should be rather than how it is

The Path ContinuedThe Path Continued

The Greeks believed that:The Greeks believed that:– Man was fundamentally a political animal (politikon Man was fundamentally a political animal (politikon

zoon)zoon)– As such, his natural habitat is the city – not as a noble As such, his natural habitat is the city – not as a noble

savage in the wilderness but a functioning citizen of a savage in the wilderness but a functioning citizen of a civil societycivil society

– The basic political question for the Greeks: how ought The basic political question for the Greeks: how ought man order his life in the city to be fully human (self-man order his life in the city to be fully human (self-actualized, in modern terminology)actualized, in modern terminology)

– Answer: unselfish participatory government where all Answer: unselfish participatory government where all work for the common good of society – as a whole.work for the common good of society – as a whole.

Philosophers on Good GovernmentPhilosophers on Good Government

Aristotle - a good citizen can exist only as part of Aristotle - a good citizen can exist only as part of the state/society.the state/society.

“ “He who is unable to live in society, or who has no He who is unable to live in society, or who has no need because he is sufficient for himself, must be need because he is sufficient for himself, must be either a beast or a god.” either a beast or a god.”

Aristotle – good government is best accomplished Aristotle – good government is best accomplished when rule is by the middle (“golden mean”)when rule is by the middle (“golden mean”)

““The most perfect political community is one in which The most perfect political community is one in which the middle class is in control, and outnumbers the middle class is in control, and outnumbers both of the other classes.” both of the other classes.”

Philosophers ContinuedPhilosophers Continued

Plato – a good political order produces “good Plato – a good political order produces “good natures; and these useful natures, who are in turn natures; and these useful natures, who are in turn well educated, grow up even better than their well educated, grow up even better than their predecessors”predecessors”

Plato – human morality is closely linked with the Plato – human morality is closely linked with the good society: good society:

“ “Man and city are alike – Humans without souls Man and city are alike – Humans without souls are hollow. Cities without virtue are rotten.”are hollow. Cities without virtue are rotten.”

Spock: “The needs of the many outweigh the Spock: “The needs of the many outweigh the needs of the few or the one.” needs of the few or the one.”

Philosophers ContinuedPhilosophers Continued

Ideally, for Plato government involved a Ideally, for Plato government involved a form of communism (with property form of communism (with property communally-owned) and for Aristotle a communally-owned) and for Aristotle a government by the enlightened and government by the enlightened and moderate middle class.moderate middle class.

In practice, both called for a government of In practice, both called for a government of active citizens who shared the responsibility active citizens who shared the responsibility for governing. for governing.

Distinguishing Representation Distinguishing Representation from Democracyfrom Democracy

Important: In Greek democracy, there is no Important: In Greek democracy, there is no explicit representation of interests.explicit representation of interests.

Both Plato and Aristotle advocated moderation, Both Plato and Aristotle advocated moderation, virtuousness, and justice as ideals for best virtuousness, and justice as ideals for best government. One ‘good’ citizen. One ‘good’ government. One ‘good’ citizen. One ‘good’ government.government.

Government embodied the people – purpose to Government embodied the people – purpose to protect and promote the common interestprotect and promote the common interest

Factions were considered bad -- selfishFactions were considered bad -- selfish

Did Democracy Work?Did Democracy Work?

Yes it did. Why?Yes it did. Why? Small city-states with relatively homogenous Small city-states with relatively homogenous

populationspopulations In Athens, citizens were:In Athens, citizens were:

– FreeFree– Native bornNative born– Property-owningProperty-owning– Qualified malesQualified males

As such, the citizenry was even more uniform than As such, the citizenry was even more uniform than the general populationthe general population

On to EuropeOn to Europe

The Greek concept of good government The Greek concept of good government prevailed in Europe through much of the prevailed in Europe through much of the Middle AgesMiddle Ages

Why? It was supported by:Why? It was supported by:– Divine Right of KingsDivine Right of Kings– Solidarity of the Catholic ChurchSolidarity of the Catholic Church– Large ArmiesLarge Armies– Largely Ignorant and Uneducated PopulationLargely Ignorant and Uneducated Population

The Winds of ChangeThe Winds of Change

The consensus on good government begins to break down The consensus on good government begins to break down as the Dark Ages lifted around 1500 A.D.as the Dark Ages lifted around 1500 A.D.

Why? The foundations of the Greek consensus were Why? The foundations of the Greek consensus were crumbling –crumbling –– Society was becoming more diversifiedSociety was becoming more diversified– Economic order shifting as a result of the collapse of feudalism and Economic order shifting as a result of the collapse of feudalism and

the adoption of a nascent capitalist systemthe adoption of a nascent capitalist system– Primacy of the Catholic Church challenged by the emergence of Primacy of the Catholic Church challenged by the emergence of

ProtestantismProtestantism– The Knight is displaced as the Medieval ‘weapon of mass The Knight is displaced as the Medieval ‘weapon of mass

destruction’ as gun powder changes the nature of warfaredestruction’ as gun powder changes the nature of warfare– The printing press improves the education of the masses as well as The printing press improves the education of the masses as well as

promoting the free flow of informationpromoting the free flow of information

Out with the Old…Out with the Old…

As the Greek consensus collapses with an As the Greek consensus collapses with an increasing rejection of the divine rights of increasing rejection of the divine rights of the aristocracy and Church leadership, so to the aristocracy and Church leadership, so to the justification for states themselves is lost.the justification for states themselves is lost.

A new intellectual basis for the foundation A new intellectual basis for the foundation and rationale of civil society was neededand rationale of civil society was needed

Liberalism: The New FoundationLiberalism: The New Foundation

Liberalism provided the new argument for Liberalism provided the new argument for social order and civilized society within an social order and civilized society within an organized political structureorganized political structure

One of liberalism’s earliest and most One of liberalism’s earliest and most important advocates was Thomas Hobbes important advocates was Thomas Hobbes (1588-1679)(1588-1679)

Hobbes was an Englishman and critic of Hobbes was an Englishman and critic of Aristotle and his notions of the virtuous Aristotle and his notions of the virtuous citizen citizen

HobbesHobbes

Hobbes had three important characteristics Hobbes had three important characteristics that informed his political theorythat informed his political theory– He was a materialist: he liked his property and He was a materialist: he liked his property and

wanted to keep itwanted to keep it– He was a pessimist: he believed most men He was a pessimist: he believed most men

were fundamentally evilwere fundamentally evil““The condition of man . . . is a condition of war of The condition of man . . . is a condition of war of

everyone against everyone.”everyone against everyone.”– He was a coward: he spent much of his life on He was a coward: he spent much of his life on

the run from his enemiesthe run from his enemies

Hobbes ContinuedHobbes Continued

Hobbes’ most famous work is LeviathanHobbes’ most famous work is Leviathan In it he attempts to accomplish his primary In it he attempts to accomplish his primary

theoretical goal: to justify the existence of an theoretical goal: to justify the existence of an authoritarian state as a guarantor of life and authoritarian state as a guarantor of life and propertyproperty

Thus a quandary for Hobbes, who viewed human Thus a quandary for Hobbes, who viewed human nature with great skepticism – man was animalistic nature with great skepticism – man was animalistic and driven by lusts and desires:and driven by lusts and desires:

“… “…there is a general inclination of all mankind, a there is a general inclination of all mankind, a perpetual and restless desire of power that perpetual and restless desire of power that ceaseth only in death” ceaseth only in death”

Hobbes ContinuedHobbes Continued

Hobbes’ Solution: The very evil nature of Hobbes’ Solution: The very evil nature of man was the justification for an authoritarian man was the justification for an authoritarian statestate

Hobbes argued humans first existed in a Hobbes argued humans first existed in a ‘state of nature’ outside the bounds of civil ‘state of nature’ outside the bounds of civil societysociety

Hobbesian State of Nature Hobbesian State of Nature

In the State of Nature:In the State of Nature:– man’s lusts and desires are uncheckedman’s lusts and desires are unchecked– there is no right to life or propertythere is no right to life or property– there are no laws or rules – life is a state of perpetual there are no laws or rules – life is a state of perpetual

war of ‘all against allwar of ‘all against all As such, life in the state of nature was as bad as it As such, life in the state of nature was as bad as it

gets.gets. “ “No arts; no letters; no society; and which is worst No arts; no letters; no society; and which is worst

of all, continual fear and danger of violent death; of all, continual fear and danger of violent death; and the life of man, solitary, poor, nasty, brutish, and the life of man, solitary, poor, nasty, brutish, and short”and short”

LeviathanLeviathan

The horrors of the state of nature necessitated a The horrors of the state of nature necessitated a strong authoritarian government to check its strong authoritarian government to check its inherent anarchy and provide a mechanism for inherent anarchy and provide a mechanism for justice where by life and property could be justice where by life and property could be protectedprotected

Any government, no matter how despotic, was Any government, no matter how despotic, was better than the anarchy of the state of naturebetter than the anarchy of the state of nature

Government’s roleGovernment’s role– Maintain peace and orderMaintain peace and order– Protect propertyProtect property– Allow for the pursuit of desire within the bounds of lawAllow for the pursuit of desire within the bounds of law

Leviathan continuedLeviathan continued

Problem: how do you get people in the Problem: how do you get people in the state of nature to agree to be ruled by this state of nature to agree to be ruled by this authoritarian Leviathan? authoritarian Leviathan?

Answer: People had an incentive to leave Answer: People had an incentive to leave the state of nature: fear of deaththe state of nature: fear of death

Mechanism: social contractMechanism: social contract

The Social ContractThe Social Contract

Independent individuals voluntarily contract to Independent individuals voluntarily contract to leave the state of nature and form a civil societyleave the state of nature and form a civil society

As such, they give up some of their natural rights As such, they give up some of their natural rights (to dispense personal justice, for example)(to dispense personal justice, for example)

But they gain the protection of Leviathan as to But they gain the protection of Leviathan as to their rights to life, liberty, and property.their rights to life, liberty, and property.

Hence the Greek concept of a natural government Hence the Greek concept of a natural government is displaced with a government founded on the is displaced with a government founded on the consent of the governed.consent of the governed.

This introduces the concept of representation- the This introduces the concept of representation- the government represents the authority of the people. government represents the authority of the people.

From Hobbes to LockeFrom Hobbes to Locke

John Locke (1632-1704) provided the John Locke (1632-1704) provided the intellectual bridge from Hobbes to the intellectual bridge from Hobbes to the American RevolutionAmerican Revolution

Locke’s political theory is similar to Hobbes:Locke’s political theory is similar to Hobbes:– places man in state of natureplaces man in state of nature– life in the state of nature isn’t goodlife in the state of nature isn’t good– man contracts his way out of the state of nature man contracts his way out of the state of nature

and into civil societyand into civil society

Locke vs. HobbesLocke vs. Hobbes

There is a critical difference between There is a critical difference between Lockeian and Hobbesian philosophy.Lockeian and Hobbesian philosophy.

In the Lockeian State of Nature, man has In the Lockeian State of Nature, man has some rights that are respected (life, liberty, some rights that are respected (life, liberty, and property).and property).

For Hobbes, there were no natural rights. For Hobbes, there were no natural rights. Rights were conferred by Leviathan. For Rights were conferred by Leviathan. For Locke, natural rights exist ex ante. Locke, natural rights exist ex ante.

Limited GovernmentLimited Government

Since the state of nature, while lacking a Since the state of nature, while lacking a mechanism for justice, is not the worst of all mechanism for justice, is not the worst of all possible worlds, Locke is not compelled to possible worlds, Locke is not compelled to justify any form of government.justify any form of government.

Locke thus argues for a limited government:Locke thus argues for a limited government:– Strong enough to protect natural rightsStrong enough to protect natural rights– But not so strong that it can abuse them But not so strong that it can abuse them

An UmpireAn Umpire

For Locke, government is an umpire: For Locke, government is an umpire: adjudicating disputes and dispensing justice.adjudicating disputes and dispensing justice.

It does not represent the authority of the It does not represent the authority of the people, as with Hobbes (the people retain people, as with Hobbes (the people retain their authority in the Lockeian social their authority in the Lockeian social contract), but rather it represents their contract), but rather it represents their diverse interests and protects their natural diverse interests and protects their natural rights. rights.

RevolutionRevolution

Thus Locke provides an intellectual basis for Thus Locke provides an intellectual basis for revolution.revolution.

If a government abuses natural rights such If a government abuses natural rights such as life, liberty, and property then it forfeits its as life, liberty, and property then it forfeits its right to exist. The state of nature becomes right to exist. The state of nature becomes preferable to that government.preferable to that government.

Thus revolution is justified in order to nulify Thus revolution is justified in order to nulify the social contract and reinstitute the natural the social contract and reinstitute the natural order. order.

Jefferson’s DeclarationJefferson’s Declaration

Jefferson was clearly inspired by Locke’s Jefferson was clearly inspired by Locke’s argument:argument:

"We hold these truths to be self-evident: That all "We hold these truths to be self-evident: That all men are created equal; that they are endowed by men are created equal; that they are endowed by their Creator with certain inalienable rights; that their Creator with certain inalienable rights; that among these are life, liberty, and the pursuit of among these are life, liberty, and the pursuit of happiness; that, to secure these rights, happiness; that, to secure these rights, governments are instituted among men, deriving governments are instituted among men, deriving their just powers from the consent of the their just powers from the consent of the governed; that whenever any form of government governed; that whenever any form of government becomes destructive of these ends, it is the right becomes destructive of these ends, it is the right of the people to alter or to abolish it...."of the people to alter or to abolish it...."