美国是一个资产阶级共和国，有着一套比较成熟、完整的政治制度，其核心是美国的建国根本大法-----联邦宪法。这个联邦宪法一方面指导和规范美国的政治运作，另一方面根据美国社会的变化不断进行修正，以适应时代发展的需求。它是美国政府的根本性文件，是美国的最高法律，也是美国资产阶级统治美利坚合众国的最主要法律基础。

美国联邦宪法的政治哲学主要源于三个方面：（1）启蒙时期的政治哲学思想，尤其是法国哲学家孟德斯鸠所提出的“三权分立”（separationof power）制衡理论；（2）约翰·洛克的“天赋人权”（natural rights）观，即人们的权利是与生俱来的，而不是皇权或神权赋予的；（3）英国的法律观念和政治传统，如法律高于一切、法律面前人人平等和正当法律程序（due process of law）等。

根据联邦宪法，美国总统是联邦政府最高行政长官（chiefexecutive officer），既是国家元首，又是政府首脑，同时还是武装部队总司令，但其任期不能超过两任八年。经过两个多世纪的历史演变，美国总统的实际权力随着联邦政府权力的日益扩大而不断增长，已远远超过联邦宪法赋予的权限。总统属下设有大量的部、局、署等行政机构，具体负责各行政部门的工作。比较重要的部、局、署包括：国务院、财政部、国防部、司法部、中央情报局、联邦调查局、联邦税务局、联邦储备局、国家宇航局和美国新闻总署等。

国会是美国联邦政府的立法机构，由参议院和众议院组成。参议院共有100名议员，50个州每州平均各2名，他/她分别代表自己所在州的全体选民及其利益。众议院共有435个席位，各州席位名额按人口比例分配，人口比例越高，席位数量越大。譬如，美国人口最多的加利福尼亚州拥有45个众议院席位，而人口稀少的特拉华州只有1个席位。参议员每一任期为6年，众议员每一任期为2年。议员的主要职责是制定涉及美国国内外各个领域的法律，其中主要包括税收、拨款、安全、战争、贸易、环境、移民、社会保障和公共教育等方面的立法。

法院是美国行政和立法之外的第三大政府机构，司职于司法事务。根据联邦宪法，美国的司法权力归属于联邦最高法院及其属下的下级法院。联邦司法体系由最高法院（the Supreme Court）、巡回上诉法院（courts of appeals）、地区法院（district courts）和特别法院（courts of special jurisdiction）组成。联邦法院的司法权力主要涉及（1）与美国宪法、法律和条约相关的案件；（2）联邦政府为当事方的案件；（3）外国驻美大使、公使、领事的案件；（4）州与州或州与外国之间的案件等。除了联邦司法系统之外，美国各个州还有各自的州司法系统，负责审理州宪法和州法律涉及的案件。两者之间不存在从属关系，各自拥有相对独立的裁决权。

除了行政、立法和司法之外，美国政治体制中的另外一个重要角色就是政党。尽管美国联邦宪法对政党只字未提，而且合众国建国元勋对政党的动机和作用大多心存疑虑，但美国社会的发展和各阶层之间的利益冲突不仅为政党的产生创造了条件，而且对政党的运作提出了要求。于是，为了顺应政治运作的需求，为了满足不同社会群体的政治诉求，美国政党应运而生。历经两百多年的演变和发展，美国形成了以共和党和民主党为主体的党派体系。

 

学习要点（Learning Objectives）

（1）   Understand the generalprinciples of American political thought.

（2）   Know the main functions of theU.S.president.

（3）   Be informed of the keydifferences between the two houses in Congress.

 

中心问题（Project）

Historically speaking, what is the significanceof the U.S. Constitution?

 

生词与词组（New Words and Expressions）

embody        体现、包含

the rule of law.    法治

constitutionalism  立宪主义

proper procedure  适当的程序

to have access to  对…享有机会、享有权利

proclaim        宣布、宣告

popular sovereignty 主权在民

nation-state      民族-国家

reside in        属于、存在于

ambiguous,     含糊的、不明确的

separation of power 三权分立

horizontally      水平线地

such being the case 事情既是如此

checks and balances (政治)制衡、制衡制度

unitary form of government 中央集权制政府

vertically        垂直线地

the Bill of Rights  民权法案

among other things 除了其他之外

illustrative 用作说明的、作为例证的

milestone 里程碑

limited government 限权政府

pardon 赦免

mandate 授权

deploy 部署、调动

reservoir 储藏、宝库

appropriate 拨款

impeach 弹劾

bicameral 两院制的

constituent 选区的选民

labyrinthine 迷宫的

by virtue of 因为、凭借

to come to terms with 对什么…妥协、对什么…接受、勉强接受

moderate 减轻、缓和

appeal 上诉

jurisdiction 司法权、管辖权

judicial review  司法审查

prosecution 起诉、检控

impugn （对某人行为、品质等）怀疑

 

正文 （The Text）

PoliticalPrinciples:

To understand the American political system, one has to, first ofall, understand the fundamental principles embodied in the U.S. Constitution,upon whichU.S.government is based. The first of these principles is the rule of law. This principle is, in fact, the extension ofconstitutionalism, which means that rather than have governmental actions takeplace at the whim of an individual or a special interest group, people in thesociety expect the rule of law and proper procedure. In this way, governmentpower is significantly limited. For example, if one is arrested for committinga crime, he expects to have a trial, to have access to legal help, and not tobe put in prison until and unless he has been clearly proven guilty. Also, alaw cannot be proclaimed in effect by a president, a member of Congress, or anoil company. Rather, to become effective, it must pass both Houses of Congress,and be approved by the president.

A second principle is popularsovereignty, which, by definition, means the greatest authority and powerto command all others. Every nation-state in the modern world has sovereignty.It may reside in a king, in a parliament, or in the state. In the case of theUnited States, popular sovereignty means thatpeople are sovereign, for they, by consent, established the Constitution of theUnited States of America.By resting sovereignty in the people, this principle suggests, in theory atleast, that a government can always be changed, preferably by majority rule,and, if necessary, by revolution. However, this concept is ambiguous, becauseit does not say clearly who are these “people” in whom sovereignty rests. However,we now know for sure that U.S. Founding Fathers did not include women, Blacks,Indians or youths under eighteen in the “people”. At best, it is hoped, now andthen, that the word people was meant to encourage the growth of democracy inthe newly founded nation.

A third principle is the concept of separation of power. This doctrine was derived from politicaltheory as old as the classical power, and was attractive to Americans whofeared the concentrated power in one branch of government. By “separation ofpower,”, it meant to divide power horizontally, i.e. separating power amongdifferent branches of government. At the national level, for example, power islodged in three branches----the Executive, the Legislative, and the Judiciary. Suchbeing the case, none of the three branches is fully dependent on any one of theothers, and yet each one of them has some interdependence with the other two.Furthermore, to ensure checks and balances, and to deprive any one class orinterest group of undue domination of the government, the personnel of eachbranch are chosen in different ways. The president, for instance, is elected bypopular vote nationwide through an independent electoral college, while themembers of the Senate are elected by popular vote statewide, and the members ofthe House of Representatives by popular vote in their own districts. As for thejudges, they are first nominated by the president and then approved byCongress.

A fourth principle is federalism,a kind of compromise in power arrangement between unitary and confederate formof government. With unitary form of government, power is heavily concentratedin the central government, while confederate form of government leavessovereignty with the state rather than national government. In this sense,federate form of government lies between centralized unitary and decentralizedconfederate form of government, designed to give the national governmentenough, but not excessive, power. If separation of power is to divide powerhorizontally, federalism is to divide power vertically, i.e. divide powerbetween a central and regional/state government. In the case of theUnited States,for example, the national government is responsible for raising armed forcesand conducting diplomacy----the state cannot----whereas the state governmentestablishes laws regulating marriage and divorce. However, they share certainpowers, such as the power to tax. Additionally, they also cooperate in manyprograms, particularly in social welfare programs.

A fifth principle is protectionof individual rights. As far as the U.S. Constitution is concerned, this isone of the most important principles. Based on the concept of the dignity ofthe individual, this principle reverses the common notion that the individualis subordinate to the state, and declares that the most importantcharacteristics of a just society should be the recognition of individualworth. The Bill of Rights contains the most sweeping and substantiveprotections for the individual rights in theUnited States. Included, amongother things, are rights to freedom of speech, freedom of the press, freedom ofreligion, and freedom of assembly, as well as the right to a recognizableprocedure in criminal cases. Perhaps, the right to freedom of religion isillustrative in terms of protection of individual rights. Until 1787, when theU.S. Constitution was drawn up, no major Western country had ever had thecourage or inclination to separate the institution of government from thepractice of religion. By forbidding all religious tests for office holding, andby separating church and state, the U.S. Constitution represents a significantmilestone in the history of individual liberty.

In addition to the above-mentioned principles, there are many otherprinciples, such as judicial review, limited government, a supreme national court, and civiliansupremacy in military matters. All together they lay down the foundationfor the U.S. Constitution, under which the government operates and functions.

 

The Presidency

The single most distinctive feature of national government in theUnited Statesis the popularly elected president. What is striking about the presidency oftheUnited States,or any other branch of government for that matter, is that the authority of thegovernment is not simply divided but also limited to an extent unmatched in anyother country. There are many things the president can do only with thecooperation of Congress and approval of the Supreme Court, and there are manythings he cannot do at all. Moreover, he has no control over the procedures anddecisions of Congress, the Supreme Court, or the fifty state governments.

Nevertheless, the president is the central figure in the Americanpolitical system, and any attempt to understand how theUnited Statesis governed todaymust begin with an account of his responsibilities, which include, but notlimited to, the following: (1) He is the head of the state. That is, he is theceremonial head of the government, just as a king or a queen would be. Hegrants pardons, receives ambassadors, and holds state dinners. (2) He is thechief executive officer of theUnited  States. For instance, he is responsible fortaking care that the laws are faithfully executed; he is also mandated by thelaws to prepare the government’s annual budget, to set rules for the civilservices, and to encourage efficient administrative practices. (3) He is thechief diplomat. Although authority in the field of foreign relations is dividedamong three organs---the president, Congress as a whole, and for the approvalof treaties and diplomatic appointments, the Senate---his claim to be the chiefdiplomat is now acknowledged by most Americans in or out of the government. (4)He is the commander in chief of the armed forces. In time of peace, thepresident deploys the forces that Congress is willing to maintain. In time ofwar, he makes all major decisions of strategy and mobilizes the economy formaximum production of the weapons of victory. (5) He holds the position of chieflegislator. For instance, he is responsible for presenting the annual budget toCongress, and he is expected to introduce and seek passage of a legislativeprogram.

In addition to the above-mentioned roles, there are many otherroles, not precisely mandated by the Constitution., that the president hasassumed. He is, for example, the head of his political party. He is largely relianton the efforts of that party, and works with the party to pass his legislativeprogram. Other responsibilities may include maintaining domestic order, as whatLincoln did tosuppress the Southern rebellion. Also, the president, especially since the1930s, has been held responsible for the economic health of the country.Additionally, emerging concerns in the area of environment and energy havegiven the president other responsibilities. Moreover, urban renewal, education,street crime, drug abuse, and family stability have increasingly come to theattention of the president as well. All theses roles, old and new, constitute avast reservoir of power, making theU.S.president probably the mostpowerful person in the history of the world.

While theU.S.president is very powerful, his power is by no means limitless, for there areboth constitutional and institutional checks on the president. Constitutionallimitations include the four-year term, the ban on the third term, andqualifications of the power of the veto. Institutional limitations are morenumerous and specific. For example, there are the checking forces from Congress,which, among other things,  has theimportant power of appropriating or not appropriating whatever money thenational government needs or the president wants. More importantly, Congresscan override a presidential veto by a two-thirds vote of both houses, andinvestigate presidential actions and impeach and even remove the president fromoffice if the latter is found guilty. Another institutional check on thepresident is the judicial branch, which can deny the exercise of presidentialpower if it is found unconstitutional, though it does not happen very often.

Furthermore, periodic elections may also serve as a kind of check onthe president as well, for they can check him by increasing the strength of theopposition party. Besides, the federal bureaucracy represents another kind ofcheck, due to its enormous size and occasional inertia. Equally important, thepress serves another very important check on the power of the president. As thepress is free of government control and protected by the U.S Constitution forthe freedom of the press, it can function as an overseer over governmentactions and informs the public of what it believes to be the true story behindgovernment policy. Finally, public opinion may present a check, though thenature and depth of this restraint are difficult to analyze.

 

Congress

According to the U.S. Constitution, Congress’s essential function isto make laws. That is why it is often referred to in theU.S.press as a law-making body.Organizationally, Congress is bicameral, made up of a House of Representativeof 435 members, each representing about an equal number of constituents, and aSenate of 100 members, 2 from each state. Representatives serve two-year termsand all 435 run for reelection in every even-numbered year. Senators servesix-year terms, and one third are elected every two years.

The primary duty of Congress is to make laws for the country, andits process is very complicated. For any bill to become a law, it must gothrough a labyrinthine procedure. Briefly, it can be summarized as follows: (1)A bill is introduced. Anyone can draw up a bill---a member of Congress, or astudent, though official introduction of a bill can come only from arepresentative or a senator. (2) The bill is then referred to the committee byleadership in that particular house. (3) The committee takes action (or morelikely no action).If the committee approves the bill, it is reported to thefull House. (4) The bill goes on a calendar. In the House, there are fivecalendars, while in the Senate, there are two calendars. (5) The bill goes tothe floor, usually in its order on the calendar, though the Senate by amajority vote, and the House by a special rule from the Rules Committee or atwo-thirds vote, can bring up a pressing matter out of order. (6) After a billis passed by one house, it goes to the other, in which frequently a similarbill had been considered. (7) If there are similar bills from both houses, aconference committee will meet to resolve differences. (8) Once the exact wordingis agreed upon by both houses, the bill goes to the president for his approvalor veto. (10) Only when the president signs the bill does it becomes law. Ifthe bill is rejected by the president, it may be dead or resurface some othertime.

Other than its most important function of making laws, Congress hasother duties provided by the U.S. Constitution. They are namely: (1) Congresscan, by a two-thirds vote, propose amendments to the Constitution. (2) TheHouse has the power to impeach (by a majority vote), and the Senate the powerto try any civil officer of theUnited  States, including the president. If theSenate upholds the impeachment charges by a two-thirds vote, the officers willbe removed. (3) Congress has powers of investigation, investigating excessiveand unconstitutional activities within the executive branch of government and helpCongress draw up legislation to improve the existing laws. (4) Finally, theSenate has some functions the House does not. The Senate, for example, advisesand consents to treaties negotiated by the executive branch. Also, the Senateconfirms most of presidential nominations to such posts as the cabinet, thefederal courts, and the diplomatic missions. Such confirmations require only amajority vote.

Of the two houses, there are some differences, and the keydifferences between them are size and constituency. The House is much largerand thus requires a more formal organizational structure as well as more rigidrules by which to conduct its business. On the other hand, the rules and proceduresof the Senate are more flexible. Additionally, senators, by virtue of serving alonger term, are believed to have more prestige and higher public visibility.Still, it should be pointed out that while the two houses have differences,they also have similarities. For instance, in both houses, the real powerresides in various committees, and therefore most of the legislative activitiesare performed in committees. The reason why committees are so important is thatthere is the need for all different interest groups to come to terms with verycomplicated issues, to deal with an increasingly high volume of bills andresolutions, and to moderate their differences to get legislation passed. Afterall, the Senate or the House, acting as a single chamber, simply cannot handleso much business alone.

 

TheJudiciary

The third branch ofU.S.government, in addition to the legislative (Congress) and executive (President)branches, is the federal judiciary. Its main instrument is the Supreme Court,which watches over the other two branches. It determines whether or not theirlaws and acts are in accordance with the Constitution. The Supreme Courtconsists of a chief justice and eight associate justices. The are nominated bythe President but must be approved by the Senate. Once approved, they holdoffice as Supreme Court Justices for life. Congress has the power to fix thenumber of justices sitting on the Supreme Court, but it cannot change thepowers given to the Supreme Court by the Constitution itself. Similarly, adecision of the Supreme Court cannot be appealed to any other court. Neitherthe President nor Congress can change their decisions. In addition to theSupreme Court, Congress has established 11 federal courts of appeal and, belowthem, 94 federal district courts. Together, they form the federal court system.

The Supreme Court has direct jurisdiction in only two kinds ofcases: those involving foreign diplomats and those in which a state is a party.All other cases which reach the Court are appeals from lower courts. TheSupreme Court chooses which of these it will hear, and most of the casesinvolve the interpretation of the Constitution. Additionally, the Supreme Courthas the power of judicial review, that is, it has the right to declare laws andactions of the federal, state, and local governments unconstitutional. Whilenot stated in the Constitution, this power was established over time. In otherwords, judicial review has the last word on matters falling within the jurisdictionof the Constitution. It should be noted, however, the federal court structureoutlined here is different from but related to the state court system, and theprosecution of law violators is, again, different from but related to the statecourt system.

In fact, most states have a hierarchical system as well, rangingfrom lower courts to a state supreme court. These courts try civil (such asdivorce) and criminal (such as murder) cases in which state laws are involved.Nearly all cases involving disputes about property, divorce, murder, theft,assault or traffic offences are dealt with by relevant state’s hierarchy ofcity, county and state courts in accordance with state laws. Each state has asupreme court of appeal, but otherwise their systems vary from one to another.In some states, judges are publicly elected; in other states they are appointedby the state governor or by special bodies such as judicial councils. Somejudges hold office for fixed periods, but others are installed for life or upto retirement age. In a few states, provisions have been made for “recall”.Under this arrangement, a group of people dissatisfied with a judge may collectsignatures to a “recall” petition, and if the signatures reach the requirednumber, the people of the state (or country) vote “yes” or “no” to thequestion, whether the impugned judge should be removed from office.

 

注释/解释 (Notesand Explanations

Ruleof law----The idea behind the “rule of law” is thatimpartial laws should govern the formal aspects of social interaction. In otherwords, people live under the rule of law, not of men, and no man is above thelaw.

InterestGroup----An interest group is a group ofpeople who lobby on the same interest.Take for example a business group with interests in National Chamber ofCommerce It is an interest group formed to promote and protect the businessinterests of its members.

TheConstitution of theUnited States of America---- TheConstitution is the fundamentallaw of theUnited States.Framed in 1787, it created the three branches of government and formed therepublican form of government. It is the oldest written constitution in the world and its significance is to establish thestructure of the federal system and distribution of power between theExecutive, the Legislative, and the judiciary.

Judicialreview----Judicial reviewis the doctrine under which legislative and executive actions are subject to review (and possible invalidation) bythe judiciary. It is believed to be a democratic practice that allows, forexample, the Supreme Court of theUnited Statesto annul a law thatit finds to be unconstitutional.

TheSouthern rebellion----It refers to the secession ofthe Southern states from the Union in themid-19 century, which eventually led to the outbreak of the American Civil War(1861-1865).