Unit 1: Constitutional Underpinnings and Federalism
Chapters 1-3 Unit Outline & Timeline
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 govt? Basic Functions of Government
*Government + Politics = Public Policy* Government: institutions of decision-makers with power to enforce rules & create public policy for society Govt powers: Legislative: Executive: Judicial: U.S. Institutions Congress What is govt? President & Bureaucracy Federal Courts Basic Functions of Government
According to the Preamble: Establish justice Ensure domestic tranquility Provide for the common defense Promote the general welfare Secure the blessings of liberty Share the class responses Need for Government & Power
Purpose of govts rules = to enforce order and stability Citizens obey govt b/c it has authority to make & enforce law Authority: ultimate right to enforce compliance with decisions US: govt 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 WHY DO WE NEED A GOVT? Remember govt is institutions, or permanent structures, of decision makers who possess the ability to enforce rules that impose order and stability on a society A family can serve as an example of an informal use of power. The more complex a society is, the more it will find a need for some government structure What is Politics? Politics: A process that regulates how conflict is resolved within a society Three major conflicts Ppl differ over their beliefs [religious/personal] Ppl differ over goals of society Ppl differ over how govt spends its limited resources H. Lasswell Who gets what, when and how What is politics? Types of Government Unitary Confederate Federal Totalitarian Oligarchy
Monarchy Anarchy Democracy Presidential vs. Parliamentary Types of Govt sources of power Totalitarian regimes: form of govt that controls all aspects of political & social life of a nation govt is all powerful. Oligarchy:rule by a few members of the elite generally make decisions to benefit their own group. Aristocracy:rule by the best suited, through virtue, talent, or education; later usage rule by the upper class. Anarchy:no govt & no laws Structures of Government: Rulers
Oligarchy- rule by a few Democracy- rule by all Direct- everyone votes on everything Representative- Choose people to speak on our behalf Autocracy- rule by one Dictatorship- rule through fear or force Monarchy- power is inherited Absolute monarch- King or Queen Constitutional Monarch/Parliamentary Govt - has a King or Queen but the Parliament runs the government. Structures of Government
Power choices: Governing systems: Anarchy- No government, chaos Totalitarianism- Government controls everything total control Limited Government - Government allows individual freedom/choice 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 = govt 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, govt decisions Indirect/Representative democracy: eligible ppl elect officials to make decisions for them govern, passing laws [aka a REPUBLIC] OUR kind of govt democratic republic/ representative democracy Democracy **Democracy assumes (1)the electorate iscapable of making rational decisions &(2)willing to invest time to make decisions Founders somewhat skeptical U.S. uses a republic: makes limits on thosewho govern, allow the ppl to speak thrufree & 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, govt is unable to act No one will agree/compromise = confusing, contradictory policy or gridlock (no policy) Does not consider general public interest Do we have a real democracy? Or even an effective republic? Some theories about whether our experiment w this governmental structure is a successful case study or if it as transformed* into something beyond the original intentions Hyperpluralism is "pluralism gone sour." Hyperpluralists contend that the existence of too many influential groups actually makes it impossible for government to act. When politicians try to placate every group, the result is confusing, contradictory, and muddled policy (or no policy at all). Both hyperpluralist theory and elite and class theory suggest that the public interest is rarely translated into public policy. Challenges of Democracy
Increased complexity ofissues > harder for citizensto make decisions Limited participation in govt > esp. voting Escalating campaign costs >preventing qualified ppl fromrunning for office? Diverse political interests >gridlock? Dont forget Capitalism
Activity: Democracy Critical Thinking Where did all these govt 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 govt Reason Natural laws Social Contract- People give power to one leader in exchange for protection- you give up some rights. Quote Minus One Fill in the blanks:
Humans are driven by a perpetual and ___________desire for ___________ that ceases only in death. Thomas Hobbes The natural liberty of man is to be free from any ___________ power on earth, and not to be under the will or legislative authority of man, but only have the law of _________ for his rule. John Locke Quote Minus One Fill in the blanks:
Humans are driven by a perpetual and restless desire for power that ceases only in death. Thomas Hobbes The natural liberty of man is to be free from any superior power on earth, and not to be under the will or legislative authority of man, but only have the law of nature for his rule. John Locke Quote Minus One Fill in the blanks:
When the law-making and law enforcing powers are ___________ in the same person...there can be no _____________. Baron de Montesquieu Man was born ______________, and everywhere he is in ______________. Jean-Jacques Rousseau Quote Minus One Fill in the blanks:
When the law-making and law enforcing powers are united in the same person...there can be no liberty. Baron de Montesquieu Man was born free, and everywhere he is in chains. Jean-Jacques Rousseau Enlightened Thinkers Rousseau Locke Hobbes Montesquieu
Social contract: Sovereign power resides with the community, not a ruler; yea direct democ! Rulers are servants of the community, if they are bad, remove them. Hobbes Without govt life would be nasty, brutish, short. Govt is needed to protect people. But absolute monarchy is best Locke People have natural rights: life, liberty, property Government is a contract to protect these rights. IF the govt brakes the contract get rid of it! Montesquieu Govt needs a separation of powers (branches) to avoid green & corruption. 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 (has bad word) 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 fromfreedom FROM to freedom TO. Egalitarianism equality of opportunity Individualism Religious faith Popular consent/majority rule Popular sovereignty Civil society Political and economic equality equal chance to pursue interests, have life you want, participate in government NOT of condition Liberty: Liberty is one of Jeffersons inalienable rights and a cornerstone of the Bill of Rights. Egalitarianism: Equality of opportunity, especially social equality, has promoted increasing political equality. Individualism: American individualism developed in part from the western frontier and the immigrants flight from government oppression. Laissez-faire economics: The American government taxes and regulates less than most countries at its equivalent level of development. Populism: The common, ordinary citizens are idealized in American politics, and both liberals and conservatives claim to be their protectors. 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 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 govt Overall, American ideology tends to be moderate Conservatives: Economics: advocate limited govt involvement; up to individual to decide to redistribute wealth Social issues: want govt involvement to preserve traditional values & lifestyles Freedom vs. Order: govts primary role is to preserve order Though overall moderate seeing increasing polarization between two major sects of political affiliation Ideology Liberals: Libertarians (small % of Americans)
Economics: favor govt regulation of economy to promote minimum standard of living for ppl living in U.S. Social issues: limited govt role social freedom seen as necessity for good of society Freedom vs. Order: Dont 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. Current Attitudes Toward American Govt
American public has high/unrealistic expectations. Expectations not met? Lack of apathy and cynicism low voter turnout. Distrust makes people blame govt for their woes personal and societal. Fail to credit the govt for what they do well. 2005 poll 23% Americans TRUST politicians. Voter apathy. The Constitution Chapter 2 Crash Course: https://www. youtube
Assign the Constitution Study Guide now its 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 The King and Parliament originally left almost everything except foreign policy and trade to the discretion of individual colonial governments. Britain obtained a vast expanse of new territory in North America after the French and Indian War ended in 1763. The British Parliament passed a series of taxes to pay for the cost of defending the territory, and also began to tighten enforcement of its trade regulations. Americans resented the taxes, especially since they had no direct representation in Parliament. The colonists responded by forming the First Continental Congress (September, 1774) and sent delegates from each colony to Philadelphia to discuss the future of relations with Britain. 1st CC: passed resolution of grievances sent to King G expressing problems with policies he and parliament placing on colonies --also decided to boycott trade w England 2nd CC: all colonies there, and already had been battling with GB operating during Rev War --Raised colonial army Washington commander -- open trade w all other countries except GB Declaration of Independence
Lists philosophy, grievances, & right to revolution Remember the Enlightenment?? NATURAL RIGHTS: unalienable rights based on ones humanity; natural law superior to man-made laws Locke: life, liberty, & property Jefferson: Life, Liberty, & happiness SOCIAL CONTRACT Rousseau consent of governed: limited govt, equality DoI Jefferson, drafted, lists grievances w george, describes the things coloniests believe make govt legit Natural Rights the idea that individuals hold certain rights b/c they are human Govts cant take away these inalienable (cant be transferred) rights Locke second treatise on govt Jefferson describes these as life, liberty, & pursuit of happiness Locke = purpose of govt is to protect these rights Govt est thru social contract agreement btwn people and the govt where ppl agree to give up some of their liberties, so that the remainder are protected Consent gives govt its legitimacy Different theories politically about WHY ppl would leave a state of nature of no laws no govt to est a govt both Hobbes and Locke agree that its done for protection Lecture Outline The English Heritage: The Power of Ideas John Lockes writings, especially The Second Treatise of Civil Government, profoundly influenced American political leaders. Lockes philosophy was based on a belief in natural rights, the belief that people exist in a state of nature before governments arise, where they are governed only by the laws of nature. Natural law brings natural rights, which include life, liberty, and property. Because natural law is superior to human law, natural law can justify even a challenge to the rule of a tyrannical king. Locke argued that government must be built on the consent of the governedthe people must agree on who their rulers will be. Government should also be a limited government, with clear restrictions on what rulers can do. According to Locke, the sole purpose of government was to protect natural rights. In an extreme case, people have a right to revolt against a government that no longer has their consent, but Locke stressed that people should not revolt until injustices become deeply felt. 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 menderiving 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 areand of right ought to be Free and Independent States. LOCKE IN SECOND TREATISE OF CIVIL GOVERNMENT
JEFFERSON IN THE DECLARATION OFINDEPENDENCE "When any one, or more, shall take upon them to make lawswhom the people have not appointed so to do, they make lawswithout authority, which the people are not therefore bound toobey; by which means they come again to be out ofsubjection, and may constitute to themselves a newlegislature." "When in the course of human events, it becomes necessaryfor one people to dissolve the political bands that haveconnected them with another, and to assume, among thepowers of the earth, the separate and equal station to whichthe laws of nature and of nature's God entitle them..." "Whosoever uses force without right...puts himself into a stateof war with those against whom he so uses it, and in that stateall former ties are canceled, all other rights cease, andeveryone has a right to defend himself, and to resist theaggressor..." "But when a long train of abuses and usurpations, pursuinginvariably the same object, evinces a design to reduce themunder absolute despotism, it is their right, it is their duty, tothrow off such government..." "A state also of equality, wherein all the power andjurisdiction is reciprocal, no one having more than another..." "We hold these truths to be self-evident: That all men arecreated equal;" "[men] have a mind to unite for the mutual preservation oftheir lives, liberties, and....property." " that they are endowed by their Creator with certainunalienable rights, that among these are life, liberty, and thepursuit of happiness." " To great and chief end, therefore, of men uniting intocommonwealths, and putting themselves under government, isthe preservation of their property...." " that to secure these rights, governments are institutedamong men, deriving their justpowers from the consent ofthe governed." Crash Course: The Articles, The Constitution and Federalism
https://www.youtube.com/watch?v=bO7FQsCcbD8 Crash Course: The Articles, The Constitution and Federalism The first attempt at creating a govt: 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 govt (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 Weaknesses of the Articles
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 couldnt pay the army Congress couldnt enforce its laws Question: Why did so many Americans tolerate the weak government established by the Articles of Confederation? Economic Turmoil Shays Rebellion
Mass farmers losing farm b/c couldnt pay taxes in specie. They revolted. : series of armedattacks on courthouses to prevent foreclosures People realized the AOC were too weak and couldnt protect citizens. New govt needed! Lecture Outline Economic Turmoil A postwar depression had left many small farmers unable to pay their debts; many were threatened with mortgage foreclosures. State legislatures were now under the control of people more sympathetic to debtors. A few states (notably Rhode Island) adopted policies to help debtors, favoring them over creditorssome printed paper money and passed force acts, requiring creditors to accept the almost worthless money. In 1786, a small group of farmers in western Massachusetts led by Captain Daniel Shays rebelled at losing their land to creditors. Shays Rebellion was a series of armed attacks on courthouses to prevent judges from foreclosing on farms. Shays Rebellion spurred the birth of the Constitution. 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 agreementTo 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 oversize & strength of central govt WHY constitution??? Resolve issues w AoC -give some taxing power for govt to gain money COERCIVE FORCE NEEDED Had asked states for $,didnt get Late delegates, late start; Delegates = biz, large planters, governors A select group of economic and political notables. Men of wealth; many were college graduates. Most were coastal residents; a significant number were urbanites. Secrecy maintain ability of delegates to discuss things openly, change minds if persuaded, didnt want public debates on issues might keep delegates from being able to compromise Doors shut, windows shut, candles, clothes heavy, record temps, NO DEODORANT OR RUNNING WATER Nationalists were in majority wanted central with real power to actually enforce Among nationalists, some monarchists Hamilton very pro-British, thought GB govt best and would replicate here More democratic nationalists Madison, James Wilsonof VA Some only wanting to settle western land issues Some who didnt want stronger central govt at all NY delegation, exclusive of Ham Plans for Government Virginia Plan New Jersey 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 natl laws Ratified by states Drafted by Madison, presented at beginning of convention Madison had spent months researching history of democracies, republics, Athenian, roman history, history of GB, came up with list of reasons why past confederacies, including AoC hadnt worked what weaknesses were Pretty much set up the negative for what constitution would be the positive solution to all problems Small states not having it, came to a stalemated position over representation Virginia Plan Set convention agenda; strong central govt Bicameral legislature representation based on population or wealth of state Exec chosen by Leg, judiciary appointed by Leg Convention Compromises: #1 The Great Compromise (aka CT Comp
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 Equality and Representation of the States The New Jersey Plan, proposed by William Paterson of New Jersey, called for each state to be equally represented in the new Congress. The Virginia Plan, suggested by Edmund Randolph of Virginia, called for representation in Congress based on the states share of the American population. The Connecticut Compromise, devised by Roger Sherman and William Johnson of Connecticut, was the solution adopted by the delegates that created a bicameral legislature in which the Senate would have two members from each state and the House of Representatives would have representation based on population. (cont.) Slavery The delegates agreed that Congress could limit future importing of slaves (they prohibited it after 1808), but they did not forbid slavery itself. The Constitution stated that persons legally held to service or labour who escaped to free states had to be returned to their owners. Under the famous three-fifths compromise, both representation and taxation were to be based upon the number of free persons plus three-fifths of the number of all other persons. Convention Compromises: #2 3/5 Compromise
3/5 Compromise: slaves counted as 3/5 of a person for determining population in HoR (agreed Congress cant regulate slave import til 1808) Compromise #3 Trade Equality in Voting
Some delegates favored suffrage for all free, adult males; some wanted to put property qualifications on the right to vote. Ultimately, they decided to leave the issue to the states. --- Table 2.2 How the Constitution Resolved Three Issues of Equality Convention Compromise #4 Executive Compromise The Constitution clearly spelled out the economic powers of Congress.
Congress was to be the chief economic policymaker. Congress was granted power to tax and borrow, and to appropriate funds. Congress was also granted powers to protect property rightspowers to punish counterfeiters and pirates, ensure patents and copyrights, to legislate rules for bankruptcy, and to regulate interstate and foreign commerce. The framers also prohibited practices in the states that they viewed as inhibiting economic development. State monetary systems. Placing duties on imports from other states. Interfering with lawfully contracted debts. States were required to respect civil judgments and contracts made in other states, and to return runaway slaves to their owners (overturned by the Thirteenth Amendment). The national government guaranteed the states a republican form of government to prevent a recurrence of Shays Rebellion, and the new government was obligated to repay all the public debts incurred under the Continental Congress and the Articles of Confederation ($54 million). Critical Issues @ Convention
Individual Rights Issues Delegates felt Consts limited govt, bydesign, couldnt threaten personal freedoms Const says little, but does include: Cant suspend writ of habeas corpus No bills of attainder, no ex post facto laws No religious qualifications for office Lecture Outline The Individual Rights Issues The delegates felt that preserving individual rights would be relatively easy. They were constructing a limited government that, by design, could not threaten personal freedoms. Powers were dispersed so that each branch or level of government could restrain the others. Most delegates believed that the various states were already protecting individual rights. Although the Constitution says little about personal freedoms, it does include the following: The writ of habeas corpus may not be suspended except during invasion or rebellion. Congress and the states are prohibited from passing bills of attainder (which punish people without a judicial trial) and ex post facto laws (which punish people or increase the penalties for acts that were not illegal or were not as severely punished when the act was committed). Religious qualifications may not be imposed for holding office in the national government. Treason is narrowly defined, and strict rules of evidence for conviction of treason are specified. The right to trial by jury in criminal cases is guaranteed. Madisonian System of Voting
Preventing Majority Tyranny Limiting Majority Control: keep most ofgovt beyond control of masses Separation of Powers: division of powersbtwn 3 branches > independent branchesthat must cooperate to govern James Madison and his colleagues feared both majority and minority factions. Limiting Majority Control To prevent tyranny by the majority, Madison believed that it was essential to keep most of the government beyond the control of the masses. Under Madisons plan that was incorporated in the Constitution, voters electoral influence was limited and mostly indirect. Only the House of Representatives was directly elected; senators and presidents were indirectly elected, and judges were nominated by the president (modified by the Seventeenth Amendment, which provides for direct popular election of senators). Separating Powers The Madisonian scheme provided for a system of separation of powers in which each of the three branches of government would be relatively independent of the others so that no single branch could control the others. Power was not separated absolutely, but was shared among the three institutions. Montesquieu, Spirit of the Laws: three sorts of powers all govts exercise No one branch dominates another Fed 47 (Madison) d Madisonian System Preventing Majority Tyranny
Checks & Balances: each branch can checkactions of other two Ex: Congress makes law, but Prez can veto Critics: too many loopholes in system Federalism: est federal system of govt pwr divided btwn natl govt & states Constitutional Republic was created! Confrontation of powers independent branches who must cooperate to govern Each govt branch can check the other two Fed 51 Ex: Congress makes law, but Prez can veto Branches politically independent from each other Critics: system ineffective there are ways to get around checks on pwr Recess appointments by Prez Regina Swopes: for each check one branch has on other, that branch has found a way around it Creating Checks and Balances Since power was not completely separate, each branch required the consent of the others for many of its actionsthereby creating a system of checks and balances that reflected Madisons goal of setting power against power to constrain government actions. The president checks Congress by holding the veto power. Congress holds the purse strings of government, and the Senate has the power to approve presidential appointments. Judicial review (the power of courts to hold executive and congressional policies unconstitutional) was not explicit in the Constitution, but was asserted by the Supreme Court under John Marshall in Marbury v. Madison (1803). Establishing a Federal System Since the framers thought much government activity would take place in the states, federalism was considered an additional check on the power of the national government. The Constitutional Republic The framers of the Constitution established a republic (a system based on the consent of the governed in which power is exercised by representatives of the public). This deliberative democracy established an elaborate decision-making process. The system of checks and balances and separation of powers has a conservative bias because it favors the status quo; that is, people desiring change must usually have a sizable majority rather than a simple majority. The Madisonian system encourages moderation and compromise, and retards change. The End of the Beginning On the 109th day of the meetings, the final version of the Constitution was read aloud. Ten states voted yes, and none voted no, but South Carolinas delegates were divided. After signing the document, the members adjourned to a tavern. The experience of the last few hours, when conflict intermingled with consensus, reminded them that implementing this new document would be no small feat. Ratifying the Constitution
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. Opposing Views: Federalists Anti-Federalists
Argued individual rights and states rights werent 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). 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. War of Words Federalists Anti-Federalists
The Federalist: 85 essays by Publius (Hamilton, Madison, Jay) Defense of Constitution, explaining structure and philosophy why it was best available structure Anti-Federalists R.H. Lee, G. Mason, J. Hancock, P. Henry https://www.youtube.com/watch?v=0iHwndOn-4A Give me liberty Argue Const. is elitist, would lead to aristocratic tyranny Unhappy about loss of state power LACK OF BoR! Fed 10:; mischief of faction part of human nature; large republic can control factions Fed 51: federal form of govt best; Const. can protect from tyranny of majority Federalists James Madison, Alexander Hamilton, and John Jaywriting under the name Publiuswrote a series of 85 articles (known as the Federalist Papers) in defense of the Constitution. The Federalist Papers defended the Constitution detail by detail, but also represented an important statement of political philosophy. Anti-Federalists The Anti-Federalists questioned the motives of the writers of the Constitution; they believed that the new government was an enemy of freedom. Anti-Federalists believed that the new Constitution was a class-based document, intended to ensure that a particular economic elite controlled the public policies of the national government. They feared that the new government would erode fundamental liberties and would weaken the power of the states. Read the passage and answer the questions.
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 documents main message IN ONE SENTENCE! When youre done with that Reading Set, alert me & Ill give you the next step! Fed #9 (A): Fed #10 (A): Fed #10 (B): Fed #51 (C): Federalist Activity Fin. Final Push for Ratification
1788: 9th state ratifies, but not enough to put into effect need NY & VA Madison promises to intro a bill of 1st Congress VA & NY ratify summer 1788 Const. in action Waiting on VA and NY big, lots of $, impt geographically In a compromise to assure ratification, the Federalists promised to add amendments to the document specifically protecting individual liberties. James Madison introduced 12 constitutional amendments during the First Congress in 1789. Ten of the amendmentsknown as the Bill of Rightswere ratified by the states and took effect in 1791. State and national governments, each with their own powers
Compromise: 2. Federalism 1. Bill of Rights State and national governments, each with their own powers National government Supreme Federalists promise to add protections for individuals by amendment Ratification Compromise Ratification New York chosen as first capital Needed 9 of 13 states
George Washington chosen as first president Needed 9 of 13 states Delaware Connecticut New Jersey Georgia Pennsylvania Massachusetts Maryland South Carolina New Hampshire was the ninth and final needed vote Rhode Island became the last. Make a short and sweet informational pamphlet on the Bill of Rights.
BOR Pamphlet Activity Make a short and sweet informational pamphlet on the Bill of Rights. Instructions: Should be front and back of one page. Include graphics and a short summary for every amendment. Include a short historical introduction to the BOR. 4-5 sentences. Amendment Review for Quiz
https://www.youtube.com/watch?v=o9GsIfs69UY No Bull Review Mr. Klaff The U.S. Constitution Founding Fathers Fraternityhttps://www.youtube.com/watch?v=k8iR8zC7pWE Complete Constitution worksheet at home Constitution Trivia 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 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 Govt Republican Govt Separation of Powers Checks & BalancesFederalism Set up for longevity Const. an outline, not a blueprint Specific & vague at same time Article I = Legislative Branch [Congress] Article II = Executive Branch [Prez+Bureauc] Article III = Judicial Branch [Courts] 1-control by ppl 2- choose reps to make legal decisions 3- contrasted to monarchial govt that had broad authoirty, no real checks on power 4- states scared of too much central govt (monarchy, unitary system) wanted some rights retained Est a federal system ruling powers divided between central govt (natl) and several regional govts (states) U.S. Constitution: Expressly written powers of govt Supremacy of natl laws Natl govt given power to regulate commerce between states Pres is Chief Exec, commander of armed forces Supremacy of national laws, constitution override conflicting state laws STATES control intrastate commerce, reserved powers Founders created a new kind of govt Additional Checks on Govt Power
Development of political parties effects of divided govt 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: _______________ STEP 2: _______________ Proposed by: _____________ ______________________________________________ Ratified by: ______________ ______________________________________________ OR OR Proposed by: _____________ ______________________________________________ Ratified by: ______________ ______________________________________________ Lecture Outline The Formal Amending Process Formal amendments change the written language of the Constitution. There are two stages to the amendment process (proposal and ratification), each with two alternative routes. All of the amendments to the Constitution have been proposed by Congress (no constitutional convention has been convened since the original Constitutional Convention); all except one of the successful amendments have been ratified by the state legislatures. Effects of Formal Amendment Formal amendments have made the Constitution more egalitarian and democratic. The emphasis on economic issues in the original document is now balanced by amendments that stress equality and increase the ability of a popular majority to affect government. The most important effect has been to expand liberty and equality in America. Some amendments have been proposed but not ratified and the best known of these in recent years is the Equal Rights Amendment. Formal Amendment Process
Amendment process quite difficult Competing interests; supermajorities needed Framers didnt 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 natl convention ever held to propose amendment some uneasy w idea Congress has considered 11,000+ amendments 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 NATL govt relating to rights & liberties of individuals **Bill of Rights did not limit state power! Other amendments classified in 5 ways: Increase/decrease pwr of Natl Govt Limit state government power Expand the electorate Taking away/adding to power of voter to elect Make structural changes Madison & Feds didnt think US Const needed BoR federal govt already limited, and if power isnt given cant be used Anti use this as strong argument ppl worried about BoR BoR arent news English BoR, states had em Mad fine, if there has to be a BoR, then IM going to draft them States sent him HUGE list of rights ideas more than 200 he submitted 17 to Congress, they tightened it to 12 Congress removed one guaranteeing equal protection under laws Constitution Quiz coming soon
Amendments #1-27 Constitution Quiz coming soon Informal Changes: The Constitutions Evolution
Congressional Elaboration Laws define or refine words of Const. Necessary & Proper Clause [elastic clause] Commerce Clause Use of impeachment Congress changes the constitution through passing laws that refine or define words of Constitution Ex: establishing lower court system; Congress added to Const. by how it uses its power to regulate foreign and interstate commerce Used powers to define what qualifies Informal Changes: The Constitutions 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 The way the President has used his powers to act independently of Congress has changed Constitution Ex: expanding Press war-making powers Ex: Executive agreements pacts w foreign leaders w/o advice & consent of Senate Have same force as treaty, but less work (not involving Senate) Pres is Comm in Chief of armed forces, BUT Congress declares war only 5 declared wars in US history, but LOTS of undeclared, military involvement 1812, Mex-Am War, Spanish-Am War, WWI, WWII ---VIETNAM, KOREA, GULF, etc all undelcared!! James Madison reported that in the Federal Convention of 1787, the phrase "make war" was changed to "declare war" in order to leave to the Executive the power to repel sudden attacks but not to commence war without the explicit approval of Congress.[2] Debate continues as to the legal extent of the President's authority in this regard. Informal Changes: The Constitutions Evolution
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? Fed 78: need JR to guarantee that validity of laws isnt affected by sways in opinion Const = Supreme Court; gave Congress pwr to create lower courts Life tenure Judicial review: power of Courts to declare acts of govt unconstitutional Marbury v. Madison, 1803 = SCOTUS ruled an act of Congress unconstitutional, thereby unenforcable Both original & appellate jurisdiction Informal Changes: The Constitutions 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 The Constitution has also been greatly changed by technology. The mass media plays a role unimaginable in the eighteenth century. The bureaucracy has grown in importance with the advent of technological developments such as computers. Electronic communications and the development of atomic weapons have enhanced the presidents role as commander in chief. Increasing Demands on Policymakers The power of the presidency has grown as a result of increased demands for new policies. The United States growth to the status of a superpower in international affairs has located additional power in the hands of the chief executive. National security concerns tend to result in more power to the president, although Congress tends to reassert itself eventually. Increased demands of domestic policy have placed the president in a more prominent role in preparing the federal budget and proposing a legislative program. Constitutional Convention Activity:What changes should be made to it today? FEDERALISM Chapter 3 Text Book Worksheet Chapter 3 Confederation: strong state govts, weak central govt.
Like??? Unitary: all power in central govt. Unitary: local govts only have powers given to them by central govt what central gives, it can also take away --decision of central agency is boss all lower govt decisions can be overruled w/o issue Ex: France, China; govts w/in U.S. states Unitary governments Organizing a nation so all power resides in the central government. Most governments in the world today have unitary governments, in which all power resides in the central government. Confederation A nation in which the national government is weaker than the states In a confederation, the national government is weak and most or all of the power is in the hands of its components. Confederation: independent states create central govt by compact central govt only has powers given to it by states Ex: U.S. under AoC, European Union power of individuals very limited, few actual confederations exist b/c difficult to maintain when having sovereign independent states who work together essentially for their convenience -only powers expressly given to individual are confederations Divided by Constitution
Federal: distribution ofpower btwn central govtand sub-divisional govts(states) Divided by Constitution Each level of govt has itsown sphere of influence Each level derives itsauthority from Const. Federalism: constitution distribution of power btwn central govt (natl) & sub-divisional govts (states) **constitution divides powers btwn natl & states Each level of govt has own sphere of influence get pwrs from Constitution exercise direct authority over individuals Federal power is divided between central government and states; each has their own sphere of influence DUAL system local govts w/in states are not a 3rd level there are ONLY TWO Unlike unitary, no sphere gets its powers from the other one both derive authority from Const. Federalism is a way of organizing a nation so that two or more levels of government have formal authority over the same area and people. Only 11 (out of approximately 190 nations of the world) have federal systems. The workings of the American system are sometimes called intergovernmental relations, which refers to interactions among national, state, and local governments. Constitutional Structure of Federalism
Derived from supremacy clause & 10thamendment supremacy clause: Const., federallaws, & treaties are superior toconflicting state & local laws Natl laws preempt the field 10th: states have independent pwrs oftheir own The Division of Power The writers of the Constitution carefully defined the powers of state and national governments [see Table 3.2]. Although favoring a stronger national government, states were retained as vital components of government. The supremacy clause deals with the question of which government should prevail in disputes between the states and the national government; Article VI states that three items are the supreme law of the land: The Constitution Laws of the national government (when consistent with the Constitution) Treaties (which can only be made by the national government) Govt officials swear an oath to whom? NATL GOVT not to their state, when you become a citizen you swear to US CONST not state const Take precedence over the state and local govts NATL GOVT CAN DO ANYTHING NOT IN DIRECT CONFLICT W CONSTITUTION Questions remain concerning the boundaries of the national governments powers. The national government can only operate within its appropriate sphere and cannot usurp the states powers. The Tenth Amendment states that powers not delegated to the United States by the Constitution, nor prohibited by it to the states, are reserved to the states respectively, or to the people. There have been variations in the Courts interpretation of the Tenth Amendment. Constitutional Structure of Federalism
Framework of govt powers: Natl govt has only delegated pwrs(those given to it) All other pwrs are reserved to stategovts Some pwrs are denied to only statesOR natl govt, or denied to both Book says 1-pwrs of natl; 2-pwrs of states; 3-pwrs prohibited but Im more specific 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 natl govtsjob primarily Presidents domain Powers of Natl Govt Delegated powers: pwrs given explicitly to natl govt (aka enumerated or express powers) Implied powers: not listed, but inferred from express powers Necessary & proper clause (Article I, Sect 8): allows Congress to make law about anything it needs to carry out other powers Inherent pwr of foreign affairs Natural of a govt to want to perpetuate its own existence, and so would do what is necessary in relation to other nations to continue existing defend itself, negotiate with other nations, acquire new territory, etc Together, create a flexible system of govt that allows central authority to expand its power when necessary Presidents powers dont depend on congressional delegation of those pwrs INHERENT POWERS The most common inherent powers are emergency powers, exercised only in times of great need. Some emergency powers are limited in scope. The president can declare a place devastated by a storm a federal disaster area, making it eligible for federal aid. Other emergency powers are much vaster in scope. During the Civil War, for example, President Abraham Lincoln spent money without congressional approval, and he also suspended a number of civil liberties, including the writ of habeas corpus Executive Orders Another type of inherent power is the executive order, which is a rule or regulation issued by the president that has the force of law. The president can issue executive orders for three reasons: To enforce statutes To enforce the Constitution or treaties To establish or modify how executive agencies operate All executive orders must be published in the Federal Register, the daily publication of federal rules and regulations. Executive Privilege Executive privilege is the right of officials of the executive branch to refuse to disclose some information to other branches of government or to the public. It includes refusing to appear before congressional committees. Executive privilege is an inherent power that is not clearly defined, and the courts have had to set limitations on the use of the privilege. In 1974, for example, the Supreme Court ruled that executive privilege could not be invoked to prevent evidence from being used in criminal proceedings against the president. . Powers of the States Concurrent Powers
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 & natl govts ex: both govts can tax, but not each another States can generally tax same items Crimes marriage law, contracts, education, traffic law, land use etc WHY natl govt must use strings to get states to legislate drinking age state power in 21st amendment States can generally tax same items (income, gas) as natl govt, but cant unduly burden commerce among states, interfere w natl govt, or violate U.S. treaty Who decides? Congress w/ final review of SCOTUS STATES W NO INCOME TAX: AK, FL, NV, SD, TX, WA, WY (7) NH and TN tax only dividend stocks and interest income Some will have corporate income taxes instead like FL Reserved powers of States
Enumerated powers of National Govt Concurrent Powers Reserved powers of States Regulate trade & interstate commerce Foreign relations Declare war Coin $$ Est natl courts Create post offices Est local govts Conduct elections Police citizens Oversee primary & elementary ed. Take land for public use Impose taxes & collect fees Borrow $$ Est. courts Enact & enforce laws Protect civil rights Protect health & welfare FEDERAL DIVISON OF POWER NATL Tax imports; Raise & maintain armed forces; Naturalization law INHERENT Conduct foreign relations STATE= Regulate trade & biz w/in state Pass licensing requirements Regulate alcoholic beverages Constitutional Structure of Federalism
Expansion of central govt rests on 4constitutional pillars: Implied powers Civil War Struggle for Racial Equality McCulloch v. Maryland (1819) States cant tax agency of natl govt ***Established implied powers using N&P clause AND reinforced supremacy clause National supremacy = federal govt prevails Establishing National Supremacy Four key events have largely settled the issue of how national and state powers are related: the McCulloch v. Maryland case, the Supreme Courts interpretation of the Commerce Clause, the Civil War, and the civil rights movement. McCulloch v. Maryland (1819) - the case that first brought the issue of state versus national power before the Supreme Court. In this case, the Supreme Court ruled that national policies take precedence over state policies: Chief Justice John Marshall wrote that the government of the United States, though limited in its power, is supreme within its sphere of action. The Court also ruled that the Constitution gives Congress certain implied powers (based on the provision granting Congress the power to make all laws necessary and proper for carrying into execution the foregoing powers) that go beyond the enumerated powers that are specifically listed in Article I, Section 8. Commerce Clause Expansion of Central Govt Power Constitutional Structure of Federalism
Expansion of central govt rests on 4constitutional pillars: Interpretation of implied powers: SCOTUSbroadened use of elastic clause inMcCulloch v. Maryland (1819) States cant tax agency of natl govt ***Established implied powers using N&Pclause AND reinforced supremacy clause Hundreds of policies justified this way McCulloch v. Maryland (1819) States cant tax agency of natl govt ***Established implied powers using N&P clause AND reinforced supremacy clause National supremacy = federal govt prevails Establishing National Supremacy Four key events have largely settled the issue of how national and state powers are related: the McCulloch v. Maryland case, the Supreme Courts interpretation of the Commerce Clause, the Civil War, and the civil rights movement. McCulloch v. Maryland (1819) - the case that first brought the issue of state versus national power before the Supreme Court. In this case, the Supreme Court ruled that national policies take precedence over state policies: Chief Justice John Marshall wrote that the government of the United States, though limited in its power, is supreme within its sphere of action. The Court also ruled that the Constitution gives Congress certain implied powers (based on the provision granting Congress the power to make all laws necessary and proper for carrying into execution the foregoing powers) that go beyond the enumerated powers that are specifically listed in Article I, Section 8. McCulloch v. Maryland https://www.youtube.com/watch?v=XvF-GAdGtKA Constitutional Structure of Federalism
Commerce clause: power to regulate interstate & foreign commerce ***Gibbons v. Ogden (1824): natl interests prevail over state interests; defined interstate commerce Heart of Atlanta Motel Inc. v U.S.(1964): Congress didnt overextend by using commerce clause to fight discrimination U.S. v Lopez (1995): limited Congress power; law must materially relate to commerce feAll business activities that cross state lines or affect more than one state or other nations Q for SCOTUS what is commerce?; when is it intrastate or interstate?; is commerce a shared pwr? ATL: direct challenge to Civil Rights Act of 64 saying separate was not equal ATL Lopez first commerce limit since New Deal era when SCOTUS overturned some of FDRs programs as unconstitutional Lopez carrying .38 in SanAn, TX to school Charged w vilation of federal Gun-Free School Zones Act 1990 Lopez = law violated federalism, outside of scope of Congress to regulate schools 5-4 decision (cons 5) said conviction vacated possession of handguns didnt affect economy on a massive (natl) scale to allow congress to regulate Gibbons v. Ogden https://www.youtube.com/watch?v=T637rKSgbUo Constitutional Structure of Federalism
Civil War: decided struggle about whether natl govt or states were ultimately sovereign Struggle for racial equality: conflict btwn states & natl govt over equality issues ultimately decided in favor of natl govt Civil rights movement, Brown v. Board of Education Establishing National Supremacy The Civil War (186165) - settled militarily the issue that McCulloch had enunciated constitutionally. The civil rights movement - a century after the Civil War, the policy issue was equality. In 1954, the Supreme Court held that school segregation was unconstitutional (Brown v. Board of Education). The conflict between states and the national government over equality issues was decided in favor of the national government: throughout the 1960s, the federal government enacted laws and policies to end segregation in schools, housing, public accommodations, voting, and jobs. Vertical Federalism Federalism = system of vertical checks &balances, relationships btwn federal andstate govts Examples: Amendment process Natl govts programs managed by states Natl govt uses $ to influence state policythrough grants (using pwr to tax & spend) Power to Tax & Spend: Congress can raise taxes & spend $$ to influence state legislation about promoting general welfare Fed govt gives grants of $$ to state with strings attached Gives Congress the ability to influence legislation about things which it has no constitutional provision to do itself at federal level Congress sometimes requires states to do certain things federal mandates (some dont come come w/ $) Interstate Relations Horizontal federalism: dealings thatrequire states to interact w/ one another Clauses relating to Horizontal federalism Interstate compacts: w/ consent ofCongress Full faith & credit clause Minor compacts that dont increase the powre of the states relative to other states not in compact, or the natl govt All 50 states a part of 2 Compacts: for Supervision of Parolees & Probationers on Juveniles Both allow for states to share law-enforcement data Full Faith and Credit Article IV, Section I of Constitution requires each state to recognize the public acts, records, and judicial proceedings of all other states. Essential to functioning of society & economy without, ppl could avoid obligations of one state by crossing into another Enforce business/personal contracts, marriages, divorces, etc Extra credit opportunity!!!!
For 3 points on a test, make a time line of Gay Marriage involving the Federal and State Govts. Federalism & Current Issues
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/states reserved pwrs? Violation of equal protection in 5th? July 2010: overturned in federal court Feb 2011: Obama wont defend in court March: Boehner BLAG/HoR will defend in select cases JUNE 2013: SCOTUS OVERTURNED 5-4:EP 96 Hawaii legalizies same sex marriages, pressure on other states to then be required to recognize such marriages under the Full Faith and Credit Clause of the United States Constitution. Section 3 of the lawthe part that defines marriage for federal purposes as the union of a man and a womanwas ruled unconstitutional by a federal district court judge in July 2010 On July 8, 2010, Judge Tauro issued his rulings in both Gill and Massachusetts, granting summary judgment for the plaintiffs in both cases. He found in Gill that Section 3 of the Defense of Marriage Act violates the equal protection of the laws guaranteed by the Due Process Clause of the Fifth Amendment to the U.S. Constitution. In Massachusetts he held that the same section of DOMA violates the Tenth Amendment and falls outside Congress' authority under the Spending Clause of the Constitution.[3][4] Those decisions are automatically stayed for two weeks by federal court rules and are likely to be stayed further if the Department of Justice appeals, as it is expected to do Tauro entered his final judgmenta document developed in consultation with the parties to the caseon August 18 and granted a stay for the duration of the appeals process.[9] The Department of Justice has 60 days to decide whether to appeal. Plaintiffs did not oppose the stay.[9] GLAD believes an appeal provides "the chance to argue in front of a higher court with a broader reach...[and] an opportunity to address the harms DOMA Section 3 causes to already married couples across the country."[10] An attorney for the plaintiffs has estimated that arguments on appeal will take place approximately a year after the expected appeal is filed.[11 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 Most criminal laws are state law Extradition: legal process where fugitive from one state must be returned Governor of State requests Usually routine sometimes contested when issues of strong racial/political implication, or in case of parental kidnapping/custody problems no state should become a safe haven for fugitive of sister States justice system Interstate privileges & immunities (Article IV, Section 2): states must extend same privileges & protections to non-residents Ex: access to courts; unreasonable residency requirements no state can discriminate unreasonably against a resident from another state States must: traveling to/becoming resident of another state; using states courts; buying/renting/selling property States cannot: giving hiring preferences to residents; lowering welfare benefits for nonresidents; higher fees for nonresidents using property Some distinctions btwn residents & non residents acceptable Ex: residency requirement for public office; college tuition differences, in-state licenses to hunt or practice law Interpretations of Federalism
Dual federalism: distinct separation btwn roles of natl & state govts = layer cake Const. gives limited pwrs to natl govt, all others left to states Cooperative federalism: natl & state levels share policy responsibilities & cooperate to solve problems = marble cake Dual federalism: Constitution gives limited list of pwrs to natl govt (foreign policy, natl defense) All other pwrs left to sovereign states Each level of govt dominant w.in its sphere State & natl govts separate entities w. clearly defined powers layer cake Dual Federalism the national and state governments as equal sovereign powers First 100 yrs, favored interpretation of SCOTUS SCOTUS is umpire btwn natl govt & states In 1930s, this idea of distinct separation faded b/c of Great Depression and activism of natl govt in solving the crisis Cooperative federalism: natl & state levels of govt should cooperate to solve problems, provide goods & services to ppl Post-Depression, New Deal w/ FDR mixed set of responsibilities in which all levels of govt are engaged in a variety of issues Term coined by M. Grodzins Diff from dual federalism (layer cake) Dual Federalism A system of government in which both the states and the national government remain supreme within their own spheres, each responsible for some policies. **Perspective on nature of federalism is influenced by political point of view** Interpretations of Federalism
Through early history, govt 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 Standard operating procedures of cooperative federalism - Shared costs, federal guidelines, and shared administration. Devolution Revolution?
Through most of 20th century, natl govtgrew in size and power, esp. when comparedto the states In 80s, GOP pressured to reduce size &scope of natl programs and shiftresponsibility for policy & programs back tothe states (devolution) Recently, a return to using federal govt toachieve policy objectives Growth of natl economy, national communications networks, multinational corporations and worldwide business Great depression stimulated natl govt acivity; WWII federal regulation Devolution? Devolution Transferring responsibility for policies from the federal government to state and local governments. State and local governments are mostly responsible for handling crime, welfare, and education. Fiscal Federalism ** Major instruments of federal aid andinfluence 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 Revenue = income for govt from taxes, etc Congress authorizes programs, establishes general rules abt program operations, & decides if states or local govt get to run part/all of program ** Major instruments of federal intervention in state programs has been various financial grants-in-aid Congress appropriates (sets aside) $$ for programs (ex: federal grants) constitutional basis in taxing/spending powers Categorical grants: $ appropriated for specific purposes; amount done by formula Subject to detailed federal conditions about how to use $; often require matching funds Categorical grants (project grants and formula grants)are main source of federal aid; can be used for specific purposes and have strings attached. State and local agencies can obtain categorical grants only by applying for them and by meeting certain qualifications. Categorical grants come with numerous strings (rules and requirements) attached, such as nondiscrimination provisions and punitive cross-over sanctions and cross-cutting requirements that reduce or deny federal funds if certain local or state laws are not passed or if federal guidelines are not met There are two types of categorical grants. Project grants - the most common type of categorical grant; awarded on the basis of competitive applications (such as grants to university professors from the National Science Foundation). Formula grants - distributed according to a formula; states and local governments automatically receive funds based on a formula developed from factors such as population, per capita income, or percentage of rural population (such as Medicare, Aid for Families with Dependent Children, and public housing). Block grants - used to support broad programs in areas like community development and social services. In response to complaints about the cumbersome paperwork and restrictive federal requirements attached to categorical grants, Congress established block grants to support broad programs. States have discretion in deciding how to spend the money. Ex: welfare, child care, education, health service Mayors and governors prefer them because they give the states more flexibility in how the money is spent Fiscal Federalism Federal grants serve 4 purposes:
To supply state & local govts w/ neededrevenue for programs To est. minimum natl standards To equalize resources among the states To attack natl problems yet minimizegrowth of federal agencies Fiscal Federalism Politics of Federal Grants
Republicans: favor less federalsupervision, delegation to state & localgovts (block) Democrats: favor detailed, federally- supervised spending (more categorical) Welfare block grants: give states flexibility, but states cant give $ to those who dont work w/in 2 years; cant receive support for more than 5 years To keep states from racing to bottom so that they are least attractive for poor to live in due to how they disburse welfare, require states to spend 75% of amount they had been spending on welfare before reform in 96 Fiscal Federalism Federal Mandates
Federally-imposed programs on state & local govts 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 Mandate Blues - Mandates direct state governments to comply with federal rules under threat of penalties or as a condition of receipt of a federal grant. There are some occasions when states would prefer not to receive some federal aidsuch as when Congress extends a program that is administered by the states and only partly funded by the national governmentan underfunded mandate. Unfunded meaning that natl govt is telling states you have to do this or that but were not going to give you the money to implement it its up to you This means that the states have to budget more funds for the project in order to receive federal grant money. Of even greater concern to states are unfunded mandates. These require state and local governments to spend money to comply with laws such as the Clean Air Act of 1970 and the Americans with Disabilities Act of 1990 with no financial help from the federal government that enacted the laws. In addition, federal courts create unfunded mandates for states regarding school desegregation, prison construction, and other policies. In 1995, Congress passed a law that will make it more difficult for Congress to impose new unfunded mandates. Why do states comply? Printz v. U.S. (1997): Congress cant force states to administer a federal regulatory program (used 10th amendment) If states dont voluntarily enforce federal regulations, might hinder access to $$ from feds, put in hot water politically EX: ADA, Advantages of Federalism
Federalism was compromise btwn strongcentral govt & strong state govts Also most practical choice Checks growth of tyranny: diffusion ofpower keeps a single group from controllinggovt Unity w/o uniformity: states differ in howissues are handled ADV: protection from majority tyranny even if one party loses control of congress, presidency, they still have reps in other areas of govt SUPER IMPT keeping one party from dominating and possibly violating rights of minority party/group Allows unity w/o uniformity: state differences in how issues handled increasingly natl govt dealing in local issues Ex: abortion, gun control, welfare financing Why Is Federalism So Important? Decentralizes our politics More opportunities for political participation. Decentralizes our policies Federal and state governments handle different problems. Advantages of Federalism
Encourages experimentation: states aslaboratories for democracy [Brandeis] Experience in state govt provides trainingfor natl officials Can lead to future opportunities Keeps govt closer to the ppl: localdecisions local level ; moreopportunities for participation Encourages experimentation: states as laboratories for democracy [Brandeis] New programs tested out w/o natl effects Lab of dem: start new program by choice if it works out, often adopted by other states: GA first to let 18 y.o. vote; Wisc leader in requiring welfare recip to work; MA to provide health insureance; Cali first on Global Warming Training: Carter, Reagan, Clinton, W were governors City council, school boards Disadvantages of Federalism
Different quality/quantity of publicservices in states Local interest can counteract & impedenational interests Hard to tell which govt is doing what somany! Federalism and Democracy Disadvantages for Democracy The quality of services like education is heavily dependent on the state in which the service is provided; states differ greatly in the resources they can devote to public services. Diversity in policy can discourage states from providing services that would otherwise be available because poor people may be attracted from states with lower benefits. Federalism may have a negative effect on democracy when local interests are able to impede national majority support of certain policies. The vast number of local governments makes it difficult for many Americans to know which government is responsible for certain functions. Federalism & Scope of Govt
Natl power has increased with industrialization, expansion of rights, & social services Most issues, concerns, & problems require resources afforded to the natl, not state, governments. Federalism and the Scope of the National Government The national government took a direct interest in economic affairs from the very founding of the republic (see Chapter 2). As the United States changed from an agricultural to an industrial nation, new problems arose and with them new demands for governmental action. The United States moved from a system of dual federalism to one of cooperative federalism, in which the national and state governments share responsibility for public policies (as seen above). The national governments share of expenditures has grown rapidly since 1929; today it spends about 25 percent of the GDP, while state and local governments spend about 12 percent today. The growth of the national government has not supplanted the states. Federalism at its worst?
Hurricane Katrina levees-broke-a-requiem-in-four-acts/index.html * Case Study: 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 Govt 10th amendment Full faith and credit clause of the Constitution Jim Crow Era Block Grants Supreme Court Cases Barron v. Baltimore (1833) BOR doesnt 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 Govt to tax and spend 16th amendment McCulloch v. Maryland (1819) Gibbons v. Ogden (1824) Civil Rights Era 1950s 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