Unit 1: Constitutional Underpinnings and Federalism

Chapters 1-3

Unit Outline & Timeline

I. Constitutional Underpinnings of United States Government (5-15%)

A. Considerations that influenced the formulation and adoption of the Constitution B. Separation of powers C. Federalism D. Theories of democratic government

GA Standards SSCG1 • The student will demonstrate knowledge of the political philosophies that

shaped the development of United States constitutional government.SSCG2 • The student will analyze the natural rights philosophy and the nature of

government expressed in the Declaration of Independence.SSCG3 • The student will demonstrate knowledge of the United States Constitution.SSCG4 • The student will demonstrate knowledge of the organization and powers of the

national government.SSCG5 • The student will demonstrate knowledge of the federal system of government

described in the United States Constitution.SSCG19 • The student will compare and contrast governments that are unitary, conferral,

and federal governments; unitary, oligarchic and democratic governments; and presidential and parliamentary governments.

https://www.youtube.com/watch?v=AnHW_t8Qwwc

THE POLITICAL LANDSCAPE

CHAPTER 1

Intro activity: Two choices

• What is democracy?

How can you do this?• Create a visual, regular size piece of paper.• Write a short poem: a couple haikus or in the

format of “rose are red” OR “row row row your boat”.

Other ideas? Let me know. Due Tomorrow!!!

• What are the top 5 purposes of gov’t?

*Government + Politics = Public Policy*

• Government: institutions of decision-makers with power to enforce rules & create public policy for society

• Gov’t powers:–Legislative:–Executive:– Judicial:

Basic Functions of Government

CongressPresident & BureaucracyFederal Courts

U.S. Institutions

Basic Functions of Government

• Share the class’ responses…

• According to the Preamble:– Establish justice– Ensure domestic

tranquility– Provide for the

common defense– Promote the

general welfare– Secure the

blessings of liberty

• Purpose of gov’ts rules = to enforce order and stability

• Citizens obey gov’t b/c it has authority to make & enforce law–Authority: ultimate right to enforce

compliance with decisions–US: gov’t has authority b/c we choose

our lawmakers• Also follow laws b/c they have

legitimacy–And so deserve compliance b/c laws

made through accepted political process

Need for Government & Power

What is Politics?• Politics: A process that regulates how

conflict is resolved within a society

• Three major conflicts1. Ppl differ over their beliefs

[religious/personal]2. Ppl differ over goals of society3. Ppl differ over how gov’t spends its limited

resources

• H. Lasswell – “Who gets what, when and how”

• Unitary

• Confederate

• Federal

• Totalitarian

• Oligarchy

• Monarchy

• Anarchy

• Democracy

• Presidential vs. Parliamentary

Types of Government

Structures of Government: Rulers • Autocracy- rule by one• Dictatorship- rule

through fear or force• Monarchy- power is

inherited– Absolute monarch-

King or Queen– Constitutional

Monarch/Parliamentary Gov’t - has a King or Queen but the Parliament runs the government.

• Oligarchy- rule by a few

• Democracy- rule by all– Direct- everyone

votes on everything

– Representative- Choose people to speak on our behalf

Structures of GovernmentPower choices:

• Anarchy- No government, chaos

• Totalitarianism- Government controls everything – total control

• Limited Government - Government allows individual freedom/choice

Governing systems:• Unitary- national

government rules

• Confederation- State government rules

• Federal State- State and national governments share power

Review for yesterday

• Take any of the content learned yesterday and create a new stanza to one of the following songs/poems:– Mary Had a Little Lamb– The Itsy Bitsy Spider– Row, row, row your boat– Roses are red

• You have 5 minutes before we share.

US Government

• The United States is a Democratic Republic (practicing representative/indirect democracy) with a limited Federal System.

• I love those words…

Democracy• Democracy = gov’t by the people – ppl

have the ultimate political authority– Roots: Ancient Greece, Montesquieu, Locke

• Separated into two types:– Direct democracy: ppl eligible to

participate vote directly on laws, selection of officials, gov’t decisions

– Indirect/Representative democracy: eligible ppl elect officials to make decisions for them – govern, passing laws [aka a REPUBLIC]

Democracy**Democracy assumes (1)the electorate

is capable of making rational decisions & (2)willing to invest time to make decisions

– Founders somewhat skeptical …

• U.S. uses a republic: makes limits on those who govern, allow the ppl to speak thru free & frequent elections

What about you?

Theories of American Democracy• Pluralism: numerous groups [factions] compete

for control of policy agenda –> no group dominates, so results in compromise on policy & group alliances– “ambition counteracts ambition”; centrist

positions prevail• Elite/Class Theory: society is divided by class &

ruled by small, upper-class group• Hyperpluralism: too many powerful groups

compete for control, gov’t is unable to act– No one will agree/compromise = confusing,

contradictory policy or gridlock (no policy)– Does not consider general public interest

Challenges of Democracy

• Increased complexity of issues –> harder for citizens to make decisions

• Limited participation in gov’t –> esp. voting

Escalating campaign costs –> preventing qualified ppl from

running for office?

Diverse political interests –> gridlock?

Activity:

Democracy Critical Thinking

Where did all these gov’t ideas come from?

Theories of Government• Divine right- power to rule comes from God and

can not be taken away• Enlightenment

– Challenged traditional views between people and their gov’t

– Reason– Natural laws

• Social Contract- People give power to one leader in exchange for protection- you give up some rights.

Enlightened Thinkers• Rosseau

– Social contract:• Sovereign power resides

with the community, not a ruler.

• Rulers are servants of the community, if they are bad, remove them.

• Hobbes– Without gov’t life would

be “nasty, brutish, short.”

– Gov’t is needed to protect people.

• Locke– People have natural rights:

life, liberty, property– Government is a contract

to protect these rights.• IF the gov’t brakes the

contract – get rid of it!

• Montesquieu– Gov’t needs a separation of

powers.

All these enlightened thinkers influenced the Declaration of

Independence and the Constitution. To be discussed soon.

Videos on Locke and Hobbes

• https://www.youtube.com/watch?v=X-buzVjYQvY– 3 Minute Philosophy: John Locke

• https://www.youtube.com/watch?v=9oC8tiZ1Shg – Venn diagram b/t Locke & Hobbes

• https://www.youtube.com/watch?v=azw7W3Sf-g0– Judge Judy: Locke v. Jefferson

• https://www.youtube.com/watch?v=eejsB6PbaAk– What does Hobbes say?

American Political Culture & Democracy

• Personal liberty: the U.S.A. has gone from “freedom FROM to freedom TO.”

• Egalitarianism – equality of opportunity

• Individualism

• Religious faith

• Popular consent/majority rule

• Popular sovereignty

• Civil society

Changing Characteristics of the American People

• From 4 million at the time of the Constitution, to 320 today.

• More ethnically diverse (largest categories)– White 66%, Hispanic 15%, Black 12%, Asian 4%

• Life expectancy was 35 (Constitution Era) now is between 75-80.

• Smaller families, more divorce, more blended families

What all this change means…

• 90% of Americans believe illegal immigration is a big issue (not a new thing).

• Affirmative Action plans are needed and then come under attack.

• More Social Security and Medicare needed, but less money coming in.

Political Ideology: Its role in the world and in American politics

Ideology• A comprehensive set of beliefs about the

nature of people, institutions and the role of gov’t – Overall, American ideology tends to be

moderate

• Conservatives: – Economics: advocate limited gov’t

involvement; up to individual to decide to redistribute wealth

– Social issues: want gov’t involvement to preserve traditional values & lifestyles

– Freedom vs. Order: gov’ts primary role is to preserve order

• Liberals:– Economics: favor gov’t regulation of

economy to promote minimum “standard of living” for ppl living in U.S.

– Social issues: limited gov’t role – social freedom seen as necessity for good of society

– Freedom vs. Order: Don’t want to give up freedoms to preserve order

• Libertarians (small % of Americans)– One who favors a free market economy and no

governmental interference in personal liberties.

Ideology

Current Attitudes Toward American Gov’t

• American public has high/unrealistic expectations.– Expectations not met? Lack of apathy and

cynicism – low voter turnout. • Distrust makes people blame gov’t for their

woes – personal and societal.• Fail to credit the gov’t for what they do well. • 2005 poll – 23% Americans TRUST politicians.• Voter apathy.

THE CONSTITUTION

CHAPTER 2Assign the Constitution Study Guide now – it’s a bear…

Road to Revolution• Why did colonists settle

America?

• Jamestown (VA): representative assembly

• Plymouth (MA): Mayflower Compact– Social Contract; consent of

governed

• “Taxation w/o representation”• 1st and 2nd Continental

Congresses

• Lists philosophy, grievances, & right to revolution

• Remember the Enlightenment??– NATURAL RIGHTS:

• “unalienable” rights based on one’s humanity; natural law superior to man-made laws

• Locke: “life, liberty, & property”– Jefferson: Life, Liberty, & happiness

– SOCIAL CONTRACT • Rousseau – consent of governed: limited

gov’t, equality

Declaration of Independence

The Declaration of Independence

• “We hold these truths to be self-evident that all men are created equal”

• “They are endowed by their Creator with certain UNALIENABLE rights”

• “Among those rights are “Life, liberty and the pursuit of happiness”

• “To secure those rights, governments are INSTITUTED among men…deriving their powers from the consent of the governed”

The Four Stanzas of the Declaration of Independence

• Part One: The Preamble, an explanation of purpose.

• Part Two: An explanation of the political ideas upon which the document was based. Emphasized “Natural Rights”, such as life, liberty and the pursuit of happiness.

• Part Three: A list of grievances against King George III (examples on following slide).

• Part Four: A resolution that “…these United Colonies are…and of right ought to be Free and Independent States.

LOCKE IN SECOND TREATISE OF CIVIL GOVERNMENT

JEFFERSON IN THE DECLARATION OF INDEPENDENCE

"When any one, or more, shall take upon them to make laws whom the people have not appointed so to do, they make laws without authority, which the people are not therefore bound to obey; by which means they come again to be out of subjection, and may constitute to themselves a new legislature."

"When in the course of human events, it becomes necessary for one people to dissolve the political bands that have connected them with another, and to assume, among the powers of the earth, the separate and equal station to which the laws of nature and of nature's God entitle them..."

"Whosoever uses force without right...puts himself into a state of war with those against whom he so uses it, and in that state all former ties are canceled, all other rights cease, and everyone has a right to defend himself, and to resist the aggressor..."

"But when a long train of abuses and usurpations, pursuing invariably the same object, evinces a design to reduce them under absolute despotism, it is their right, it is their duty, to throw off such government..."

"A state also of equality, wherein all the power and jurisdiction is reciprocal, no one having more than another..."

"We hold these truths to be self-evident: That all men are created equal;"

"[men] have a mind to unite for the mutual preservation of their lives, liberties, and....property."

" that they are endowed by their Creator with certain unalienable rights, that among these are life, liberty, and the pursuit of happiness."

" To great and chief end, therefore, of men uniting into commonwealths, and putting themselves under government, is the preservation of their property...."

" that to secure these rights, governments are instituted among men, deriving their just powers from the consent of the governed."

https://www.youtube.com/watch?v=bO7FQsCcbD8

Crash Course: The Articles, The Constitution and Federalism

The first attempt at creating a gov’t: Articles of Confederation, 1777-1789

• First written plan of government for newly independent states

• States have most power• One vote per state; unicameral

congress• Did not provide for powers

needed in central gov’t (i.e. tax)

Under the Articles, Congress could…

• Borrow or request money from the states

• Declare war• Maintain an army

and navy• Make treaties and

alliances

• Congress could not collect taxes from the states

• Congress could not control the currency in the states

• Congress could not regulate trade/commerce

• 9 states were needed to make decisions

• ALL 13 states had to agree to amendments to the Articles

• there was no executive (president) or judicial (court) power

• Each state got 1 vote no matter how big or small

• Members of Congress only served 1 year terms

• Congress couldn’t pay the army

• Congress couldn’t enforce it’s laws

Weaknesses of the Articles

Question: Why did so many

Americans tolerate the weak government established by the

Articles of Confederation?

• Mass farmers losing farm b/c couldn’t pay taxes in specie.– They revolted.

• 1786-87: series of armed attacks on courthouses to prevent foreclosures

• People realized the AOC were too weak and couldn’t protect citizens.– New gov’t needed!

Economic Turmoil – Shays’ Rebellion

Differing Views of Shays’ Rebellion

• Thomas Jefferson: "A little rebellion now and then is a good thing. It is a medicine necessary for the sound health of government. God forbid that we should ever be twenty years without such a rebellion.”– Translation: The rebellion was NO BIG DEAL.

• James Madison: “Liberty may be endangered by the abuses of liberty as well as by the abuses of power”. – Translation: Our government is TOO WEAK; we must

DO SOMETHING.

• Nevertheless….something needed to be done!

The Annapolis Convention

• Held in 1786 to discuss economic problems that the Articles could not solve.

• Twelve delegates from five states were present.

• They only came to one agreement…To meet in Philadelphia the following year.

The Miracle at Philadelphia:Writing a Constitution

Drafting the Constitution

• Philadelphia Convention, May 1787;

– Purpose: to revise AoC

• Delegates: 55 men from 12 states (?), mostly middle/upper class, educated, lawyers, landowners

• Maintained total secrecy – why?

– James Madison (Father of Const.) kept a diary

• Factions developed among delegates over size & strength of central gov’t

Plans for GovernmentVirginia Plan

• Focus on the people• Leg: bicameral, can

override state laws, popular representation

• Exec: elected by Congress, no set size

• Judiciary: life tenure, can veto state legis.

• Ratified by citizens

New Jersey Plan• Focus on states• Leg: unicameral,

equal vote for each state

• Exec: plural, removable by state majority vote

• No power over states• Supremacy of nat’l

laws • Ratified by states

Convention Compromises: #1 The Great Compromise (aka

CT Comp.)

Equality & Representation of States– Bicameral Leg: upper house = equal

repres.; lower house = repres. based on population

Convention Compromises: #2 3/5

Compromise• 3/5 Compromise: slaves counted as

“3/5” of a person for determining population in HoR (agreed Congress can’t regulate slave import til 1808)

Compromise #3 Trade

Convention Compromise#4 Executive Compromise

Critical Issues @ ConventionIndividual Rights Issues

• Delegates felt Const’s limited gov’t, by design, couldn’t threaten personal freedoms

• Const says little, but does include:

– Can’t suspend writ of habeas corpus

– No bills of attainder, no ex post facto laws

– No religious qualifications for office

Madisonian System of VotingPreventing Majority Tyranny

• Limiting Majority Control: keep most of gov’t beyond control of masses

• Separation of Powers: division of powers btwn 3 branches –> independent branches that must cooperate to govern

Madisonian SystemPreventing Majority Tyranny

• Checks & Balances: each branch can check actions of other two

– Ex: Congress makes law, but Prez can veto

– Critics: too many loopholes in system

• Federalism: est federal system of gov’t – pwr divided btwn nat’l govt & states

Constitutional Republic was created!

Nine of the thirteen states needed to ratify (approve) the Constitution.

Conventions were set up in each state, bypassing the state legislature.

This process was, technically, “treason”.

Ratifying the Constitution

Opposing Views:Federalists Anti-Federalists

• Wanted a strong national government.

• Led by George Washington, James Madison and Alexander Hamilton.

• Produced “The Federalist Papers”, which explained how the government would work.

• Argued individual rights and state’s rights weren’t protected

• Led by Patrick Henry and Thomas Jefferson.

• Feared the President would become King.

• Thought the government would come under control of one particular group (a faction).

War of WordsFederalists

• The Federalist: 85 essays by Publius (Hamilton, Madison, Jay)

• Defense of Constitution, explaining structure and philosophy why it was best available structure

Anti-Federalists• Federal Farmer,

Brutus, etc• R.H. Lee, G. Mason,

J. Hancock, P. Henry• Argue Const. is

elitist, would lead to “aristocratic tyranny”

• Unhappy about loss of state power

• LACK OF BoR!

Federalist #10 activity

Read the passage and answer the questions.

Primary Documents: The Federalist

• Work with your group members to answer the questions that accompany the Reading Set.

• After completing those questions, come up with a group summary of the document’s main message – IN ONE SENTENCE!

• When you’re done with that Reading Set, alert me & I’ll give you the next step!

Fed #9 (A): Fed #10 (A):

Fed #10 (B): Fed #51 (C):

Federalist Activity Fin.

• 1788: 9th state ratifies, but not enough to put into effect – need NY & VA

• Madison promises to intro a bill of rights @ 1st Congress– VA & NY ratify summer 1788 – Const. in

action

Final Push for Ratification

Compromise:

1. Bill of Rights 2. Federalism

• Federalists promise to add protections for individuals by amendment

• State and national governments, each with their own powers

• National government Supreme

Ratification Compromise

RatificationNeeded 9 of 13 states

DelawareConnecticut New JerseyGeorgiaPennsylvaniaMassachusettsMarylandSouth CarolinaNew Hampshire was the ninth and final needed voteRhode Island became the last.

• New York chosen as first capital

• George Washington chosen as first president

BOR Pamphlet Activity

Make a short and sweet informational pamphlet on the Bill of Rights.

Instructions:1. Should be front and back of one page.2. Include graphics and a short summary for

every amendment.3. Include a short historical introduction to the

BOR. 4-5 sentences.

The U.S. Constitution

Complete Constitution worksheet at home

• For 146 years it was never seen in public• In 1894 it was placed b/t two pieces of glass in the State

Dept. basement• In 1921 it was moved to the Library of Congress (not

displayed until 1924)• 19 days after the attack on Pearl Harbor it went to Fort

Knox until Oct. 1, 1944• Moved to National Archives in 1952• Kept in bombproof, shockproof, fireproof vault with steel

and reinforced concrete; kept on spring system to raise and lower each day

• Published by Dunlap and Claypool (1320 copies for $420)• Only 500 final copies made, only about 6 left in existence

Constitution Trivia

The Many Principles of the Constitution

• Popular Sovereignty- Government gets its power from the consent of the people.

• Limited Government- the government only has the power that the people give it and is bound by the powers given to them in the Constitution.

• Separation of Powers- the national government is divided into three branches so that no branch has more power than it should.

• Checks and Balances- each branch is given powers over the other branches to balance the power.

Judicial Review- the Supreme Court has the power to determine if a law is unconstitutional.

National Supremacy- if a state and federal law contradict, then the federal law wins.

Federalism- governmental power is divided between national and state powers.

U.S. Constitution – Final Product!Basic Principles

Popular Sovereignty Limited Gov’t Republican Gov’t Separation of Powers Checks & Balances Federalism

• Set up for longevity – Const. an outline, not a blueprint

• Specific & vague at same timeArticle I = Legislative Branch [Congress]

Article II = Executive Branch [Prez+Bureauc]

Article III = Judicial Branch [Courts]

Additional Checks on Gov’t Power

• Development of political parties – effects of divided gov’t

• Expansion of electorate – participants & methods

• Expansion of federal bureaucracy• Technological advances• Growth of Presidential power –

international issues

Time to make amends….

FORMAL AMENDMENT PROCESS

STEP 1: _______________

Proposed by: ___________________________________________________________

OR

STEP 2: _______________

OR

Proposed by: ___________________________________________________________

Ratified by: ____________________________________________________________

Ratified by: ____________________________________________________________

• Amendment process quite difficult– Competing interests; supermajorities

needed

• Framers didn’t want amendments to be easy – prevent majority tyranny passing amendments to violate rights of minority

• Congress can specify “reasonable” time limit for ratification– Usually 7 yrs; exception = 27th amendment

• No nat’l convention ever held to propose amendment – some uneasy w idea

Formal Amendment Process

Changing the Constitution

Changed 27 times by the rules

• Step 1: Proposal– 2/3 of Congress– 2/3 of Constitutional Convention

• Step 2: Ratification– 3/4 of state legislatures– 3/4 of state conventions

How Formal Amending Power has been Used

• BoR = 1st 10 amendments, adopted in 1791– Limit pwr of NAT’L gov’t relating to rights &

liberties of individuals**Bill of Rights did not limit state power!

• Other amendments classified in 5 ways:– Increase/decrease pwr of Nat’l Gov’t– Limit state government power– Expand the electorate– Taking away/adding to power of voter to

elect– Make structural changes

Amendments #1-27

Constitution Quiz coming soon…

Informal Changes: The Constitution’s Evolution

I. Congressional Elaboration• Laws define or refine words of Const.

–Necessary & Proper Clause [elastic clause]

–Commerce Clause–Use of impeachment

Informal Changes: The Constitution’s Evolution

II. Presidential Actions• Expanding Pres war-making powers• Executive orders; executive

privilege; impoundment• Use of executive agreements

–Pacts w/ foreign head of state – legally binding, bypass Senate

III. Judicial Review• Not in the Constitution!• Est. in Marbury v. Madison, 1803:

– First time SCOTUS ruled a Congressional law unconstitutional

• Lasting effects: courts are official interpreters of law; litigation is additional method of affecting policy

• Allows SCOTUS to adapt Constitution to modern situations

Is the Constitution “living?”

Informal Changes: The Constitution’s Evolution

Informal Changes: The Constitution’s Evolution

IV. Changing political practice• Political Parties not mentioned in Const.,

but have changed political process– Ex: nomination of Prez candidates;

organization & running of Congress

• Use of electoral college now more a “rubber stamp” than deciding factor

• Technology – mass media, internet, electronic communications, nuclear weapons

• Increasing demands on policymakers

Constitutional Convention Activity:

What changes should be made to it today?

FEDERALISMChapter 3

Text Book Worksheet – Chapter 3

• Unitary: all power in central gov’t.

• Confederation: strong state gov’ts, weak central gov’t.

• Like???

• Federal: distribution of power btwn central gov’t and sub-divisional gov’ts (states)

• Divided by Constitution

• Each level of gov’t has its own “sphere of influence”

• Each level derives its authority from Const.

Constitutional Structure of Federalism

• Derived from supremacy clause & 10th amendment

- supremacy clause: Const., federal laws, & treaties are superior to conflicting state & local laws

• Nat’l laws preempt the field

- 10th: states have independent pwrs of their own

Constitutional Structure of Federalism

• Framework of gov’t powers:

1. Nat’l gov’t has only delegated pwrs (those given to it)

2. All other pwrs are reserved to state gov’ts

3. Some pwrs are denied to only states OR nat’l govt, or denied to both

Powers of National Govt• Enumerated powers

• Implied powers

- Necessary & proper clause (elastic)

• Inherent powers – ex: foreign affairs

- U.S. v Curtiss-Wright Export Corp (1936): foreign affairs are nat’l gov’ts job – primarily President’s domain

Powers of the States• Reserved powers in 10th amendment• States have police power over laws

regulating behavior of citizens w/in states

Concurrent Powers• Powers shared jointly by both state &

nat’l gov’ts – ex: both gov’ts can tax, but not each another

• States can generally tax same items

Enumerated powers of National Gov’t

Concurrent Powers

Reserved powers of States

•Regulate trade & interstate commerce

•Foreign relations•Declare war•Coin $$•Est nat’l courts•Create post offices

•Est local gov’ts•Conduct elections

•Police citizens•Oversee primary & elementary ed.

•Take land for public use

•Impose taxes & collect fees

•Borrow $$•Est. courts•Enact & enforce laws

•Protect civil rights

•Protect health & welfare

• Expansion of central gov’t rests on 4 constitutional pillars:

Constitutional Structure of Federalism

Implied

powers

Commerce Clause

Civil War

Struggle for Racial Equality

Expansion of Central Govt Power

• Expansion of central gov’t rests on 4 constitutional pillars:

1.Interpretation of implied powers: SCOTUS broadened use of elastic clause in McCulloch v. Maryland (1819)

• States can’t tax agency of nat’l govt

***Established implied powers using N&P clause AND reinforced supremacy clause

• Hundreds of policies justified this way

Constitutional Structure of Federalism

McCulloch v. Maryland

https://www.youtube.com/watch?v=XvF-GAdGtKA

2. Commerce clause: power to regulate interstate & foreign commerce

***Gibbons v. Ogden (1824): nat’l interests prevail over state interests; defined “interstate commerce”

• Heart of Atlanta Motel Inc. v U.S.(1964): Congress didn’t overextend by using commerce clause to fight discrimination

• U.S. v Lopez (1995): limited Congress’ power; law must materially relate to commerce

Constitutional Structure of Federalism

Gibbons v. Ogden

https://www.youtube.com/watch?v=T637rKSgbUo

3. Civil War: decided struggle about whether nat’l govt or states were ultimately sovereign

4. Struggle for racial equality: conflict btwn states & nat’l govt over equality issues ultimately decided in favor of nat’l govt- Civil rights movement, Brown v.

Board of Education

Constitutional Structure of Federalism

Vertical Federalism• Federalism = system of vertical checks &

balances, relationships btwn federal and state gov’ts

• Examples:

- Amendment process

- Nat’l gov’ts programs managed by states

- Nat’l gov’t uses $ to influence state policy through grants (using pwr to tax & spend)

Interstate Relations• Horizontal federalism: dealings that

require states to interact w/ one another

Clauses relating to Horizontal federalism

• Interstate compacts: w/ consent of Congress

• Full faith & credit clause

Extra credit opportunity!!!!

For 3 points on a test, make a time line of Gay Marriage involving the

Federal and State Gov’ts.

SAME SEX MARRIAGE• 1996: Defense Of Marriage Act passed – no

state is required to legally recognize same-sex marriage from another state- Violation of Full Faith & Credit clause?- Violation of Federalism/state’s reserved

pwrs?- Violation of equal protection in 5th?

• July 2010: overturned in federal court• Feb 2011: Obama – won’t defend in court• March: Boehner – BLAG/HoR will defend in

select casesJUNE 2013: SCOTUS OVERTURNED 5-4:EP

Federalism & Current Issues

Interstate Relations• Extradition

• Interstate privileges & immunities: states must extend same privileges & protections to non-residents- Goal: to prevent states from

discriminating against non-residents

- Some exceptions to equal treatment

• Dual federalism: distinct separation btwn roles of nat’l & state gov’ts = layer cake - Const. gives limited pwrs to nat’l

govt, all others left to states• Cooperative federalism: nat’l &

state levels share policy responsibilities & cooperate to solve problems = marble cake

Interpretations of Federalism

**Perspective on nature of federalism is influenced by political

point of view**

• Through early history, gov’t leaned toward dual federalism

• Since New Deal era, have seen a shift toward cooperative federalism- Ex: education, infrastructure

• Standard operating procedures of cooperative federalism- Shared costs- federal guidelines- shared administration

Interpretations of Federalism

Devolution Revolution?

• Through most of 20th century, nat’l gov’t grew in size and power, esp. when compared to the states

• In 80s, GOP pressured to reduce size & scope of nat’l programs and shift responsibility for policy & programs back to the states (devolution)

- Recently, a return to using federal gov’t to achieve policy objectives

Fiscal Federalism** Major instruments of federal aid and

influence in state programs are grants-in-aid

Types of Federal Grants

• Categorical grants: subject to specific federal conditions for use

–Types: project grants, formula grants

• Block grants: less strings attached to $; states have more discretion in spending

Fiscal Federalism• Federal grants serve 4 purposes:

1. To supply state & local gov’ts w/ needed revenue for programs

2. To est. minimum nat’l standards

3. To equalize resources among the states

4. To attack nat’l problems yet minimize growth of federal agencies

Fiscal FederalismPolitics of Federal Grants

• Republicans: favor less federal supervision, delegation to state & local gov’ts (block)

• Democrats: favor detailed, federally-supervised spending (more categorical)

Fiscal FederalismFederal Mandates• Federally-imposed programs on state &

local gov’ts – often underfunded or unfunded

• Ex: NCLB 2002: huge burdens on schools, very little increase in funding

• 2 reasons why states comply: - federal tax money given to states is

under control of Congress to apportion;- Civil Rights legislation seen as

untouchable = political liability if not enforced

Advantages of Federalism• Federalism was compromise btwn

strong central gov’t & strong state gov’ts

- Also most practical choice

• Checks growth of tyranny: diffusion of power keeps a single group from controlling gov’t

• Unity w/o uniformity: states differ in how issues are handled

Advantages of Federalism• Encourages experimentation: states

as “laboratories for democracy” [Brandeis]

• Experience in state gov’t provides training for nat’l officials

- Can lead to future opportunities

• Keeps gov’t closer to the ppl: local decisions made @ local level ; more opportunities for participation

Disadvantages of Federalism

• Different quality/quantity of public services in states

• Local interest can counteract & impede national interests

• Hard to tell which gov’t is doing what – so many!

Federalism & Scope of Gov’t

• Nat’l power has increased with industrialization, expansion of rights, & social services

• Most issues, concerns, & problems require resources afforded to the nat’l, not state, governments.

Federalism at it’s worst?

Hurricane Katrinahttp://www.hbo.com/documentaries/when-the-levees-broke-a-requiem-in-four-acts/index.html

Case Study: McCulloch v. Maryland

• http://www.streetlaw.org/en/landmark/cases/mcculloch_v_maryland

• How has federal power expanded over state power in American history?

States vs. Federal Power • Mechanisms/Events that preserved state power

– Articles of Confederation– Guarantee of “Republican Form of Gov’t” – 10th amendment– “Full faith and credit” clause of the Constitution– Jim Crow Era– Block Grants

• Supreme Court Cases – Barron v. Baltimore (1833) BOR doesn’t extend to

states – United States v. Lopez (1995) limiting Congress’ power

to regulate commerce

Mechanisms/events that expanded

FEDERAL power• Supremacy clause of

the Constitution• Necessary and Proper

Clause of the Constitution

• Commerce Clause of the Constitution – Heart of Atlanta v. US

• The power of the Fed Gov’t to tax and spend

• 16th amendment

• McCulloch v. Maryland (1819)

• Gibbons v. Ogden (1824)

• Civil Rights Era• 1950’s building of a national

highway (Categorical grants)• Federal deficit• Federal Mandates (cross

cutting requirements, cross over sanctions)

Activity: Politics of Federal Grants

Activity: Panel Discussions Federalism