Unit II The Constitution and
Federalism
Chapters 2 & 3
Chpt. 2: The Constitution
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Key Terms to Know:
Amendment process
Antifederalists
Bicameral
Bill of Rights
Checks and Balances
Constitution
Factions
Federalism
Federalist papers
Federalists
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Great Compromise
Judicial review
Marbury v. Madison
Natural rights
New Jersey Plan
Ratification
Republic
Separation of powers
Shay’s Rebellion
Virginia Plan
Unalienable
Unicameral
Essential Questions to Answer:
• Why was there a Constitutional
Convention?
• What were the challenges of the
convention?
• What are the key principles of the
Constitution?
• What were the motives of the framers?
• What are some modern views on
constitutional reform?
Remember:
• Politics: how individuals or groups manipulate
the systems and structures of government to
achieve a desired outcome.
• Pluralism - groups compete with one another
for control over policy w/ no one group
dominating
• Hyper-Pluralism - pluralism gone crazy
• Elite Theory - an upper class rules, regardless
of how government is organized.
– Different versions of the Elites:
– Marxists
– The Power Elite (C Wright Mills)
– Bureaucrats (Weber)
The Constitution:
• The Constitution is a document motivated
by FEAR - fear of a strong central
government that would obliterate the rights
of individuals!!!
Locke and Rousseau: What were
their political philosophies?
Articles of Confederation v. The
Constitution:
Strengths of the Articles of
Confederation
• Congress could establish and control the armed
forces, declare war, and make peace.
• Congress could enter into treaties and alliances.
• Congress could regulate coinage (but not paper
money).
• Congress could borrow money from the people.
Weaknesses of the Articles of
the Confederation
Weaknesses of the Articles of
the Confederation, (cont.)
Weaknesses of the Articles of
the Confederation, (cont.)
The Weaknesses?
• Congress could not tax or regulate
interstate commerce
• No powerful executive
• No federal judicial system
Unanimous to amend articles
Path to The Constitutional
Convention:
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Shay’s Rebellion:
Virginia Plan
New Jersey Plan
The Great
Compromise
Shays’ Rebellion
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Massachusetts small farmers in debt
many farmers in prison
Daniel Shays leads rebellion in 1786
rebellion suppressed, but demonstrated
that the Articles of Confederation
government was unable to maintain order
Virginia v. New Jersey
Virginia:
1. A national
(bicameral)legislature would
have supreme powers on all
matters on which the
separate states were not
competent to act, as well as
the power to veto any and all
state laws
2. At least one house of the
legislature would be elected
directly by the people
New Jersey:
1. States’ representation in
Congress unchanged from
the Articles of Confederation
– each state would have one
vote.
2. Members of the lower house
elected by the state
legislatures rather than the
people, with each state
getting the same number of
seats rather than seats
proportional to its population.
The Great Compromise:
• A House of
Representatives
consisting initially of sixtyfive members
apportioned among the
states roughly on the
basis of population and
elected by the people.
• A Senate consisting of
two senators from each
state to be chosen by the
state legislatures.
Primary Issues Debated at
Convention:
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6.
Representation (lasted @ 6 weeks)
Slavery
Voting
Economic Issues(Trade)
Individual Rights
Mr./Coach Laird - go over these!
Left Unsaid:
• Future of slavery?
• Full scope of national powers?
• No specific plan or role of the Supreme
Court
• No specific plan for the role of presidential
advisors
Madison the Architect:
Readings: Federalist
Papers #10 (pages A21
– A25) and #51 (pages
A26 – A29)
Be sure you can answer
these questions:
• Motivations of these
Founding Fathers?
• “Factions”?
• Who were the
Antifederalists?
Ratification of the Constitution
Federalists
-Those who favored a strong central government
and the new constitution.
Anti-Federalists
-Those who opposed the adoption of the
Constitution because of the document’s
centralist tendencies and because it also did not
include a bill of rights.
• Go to: http://wepin.com/articles/afp/index.htm
Madison the Architect:
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Separation of Powers
Checks and Balances
Limits on the Majority
Federalism
Supremacy Clause
The Constitution: pages A4 – A20
Preamble:
What principles are
established in the
Preamble?
Articles:
Articles I, II, III, IV, V, VI
Amendments:
Bill of Rights – why?
11-27
What are some of the
Modern Views on
Constitutional Reform?
(pages 44 – 48)
Motives of the Framers?
• Economic Interests
• (Review notes on
board)
The Constitution’s Major
Principles of Government
• Limited Government and Popular
Sovereignty
• Federalism
– The central government shares sovereign
powers with several state governments.
• Checks and Balances
• Madisonian Model- Separation of
Powers
Cont.
• Founders did not intend to create a direct
democracy:
• Two kinds of majorities:
– 1. Voters: House of Reps
– 2. States: Senate
Popular rule only one segment of the
government: State Legislators to elect
Senators and Electors to choose president
Legislative Powers
• Article 1, section 8
• Elastic Clause
(National Bank to the
Brady Bill)
Executive Powers
• Qualifications of
Office
• Head of state
• Head of political party
• Commander in chief
• Pardons,
communications,
reprieves
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Make treaties
Make appointments
Sign or veto
State of the Union
Special sessions of
Congress
• Inherent powers
Judicial Powers
• Marbury v. Madison
Figure 2.1 Separation of Powers
Separation of powers, as envisioned by the Founders, means
not only that government functions are to be performed by
different branches but also that officials of these branches are to
be chosen by different people, for different terms, and to
represent different constituencies.
The Constitution’s Major
Principles of Government (cont.)
• The Bill of Rights
• Compromise with the anti-federalists to
secure the ratification of the Constitution.
• Protection of individual liberties against
violations by the national government.
Why there was an absence of a
Bill of Rights
1. Several guarantees in Constitution
already (habeas corpus, no bill of
attainder, no ex post facto law, trial by
jury, no religious tests, etc.)
2. Most states had bills of rights
3. Intent to writing the Constitution was to
limit federal govt. to specific powers
Need for a Bill of Rights
1. Ratification impossible without one
2. Promise by key leaders to obtain one
3. Bitter ratification, narrowly successful
How the government works
Changing the Constitution:
• The formal process: Article V
• The informal process: judicial
interpretation, Marbury v. Madison, 1803.
What happened in this case and what was
the resulting judicial power?
Amending the Constitution
• Methods of Proposing an Amendment
• Most common is a 2/3 vote in each chamber of
Congress.
• Methods of Ratifying an Amendment
• Three-fourths of the state legislatures vote in
favor.
• Go to:
http://www.law.cornell.edu/constitution/constitutio
n.overview.html
Amendments
Not counting the first ten and prohibition, the
document has been amended 15 times. There
are 5 categories:
• Additional power to the federal
government (16th)
• Limiting powers of the states (14th)
• Expanding right to vote (15th, 19th, 26th)
• Changing the power of the voter to elect
public officials (17th, 22nd)
• Changing the structure of government (?)
The Constitution and Today
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Modern principles:
Popular sovereignty
Federalism
Separation of
powers
• Checks and
balances
• Judicial review
• Limited government
Longevity due to:
Separation of powers
Checks and balances
Elastic clause
Powers reserved to states
Guaranteed rights
Traditions of unwritten
constitution (next slide)
Judicial review
Amendment process
Inherent powers of the
president
Constitutional Reform Modern Views
Reducing SOP to enhance
national leadership:
• Gridlock
• Interference from
legislators and special
interest
• Stronger president
• More proactive and
decisive government
Making the System less
democratic:
• Govt. does too much,
not too little
• Attention on individual
wants over general
preferences
• Cut back on govt.
activism
Traditions of Unwritten
Constitution
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Certain factors in American political life have
made the Constitution more flexible than the
Founders envisioned:
Political parties
President’s Cabinet
PAC’s
Federal Bureaucracies
Elastic Clause
Presidential Interpretation (executive Privilege)
Judicial Review
The Politics of Homeland
Security
• Tampering with the System of Checks and
Balances
Yeah!! ON YOUR OWN ASSIGNMENT:
• School House Rocks!!
• Briefly describe Amendments 11 – 27.
• After viewing the fun and exciting
segments of School House Rocks, create
a song or “ditty” depicting one of the
Amendments not part of the Bill of
Rights.
Review Key Terms: Based on YOUR reading of the chapter are there
any terms that are not clear to you? Speak now, or forever hold your
peace!
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Amendment process
Antifederalists
Bicameral
Bill of Rights
Checks and Balances
Constitution
Factions
Federalism
Federalist papers
Federalists
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Great Compromise
Judicial review
Marbury v. Madison
Natural rights
New Jersey Plan
Ratification
Republic
Separation of powers
Shay’s Rebellion
Virginia Plan
Unalienable
Unicameral
Essential Questions we should
have answered by now:
• Why was there a Constitutional Convention?
• What were the challenges of the convention?
• What are the key principles of the Constitution?
• What were the motives of the framers?
• What are some modern views on constitutional reform?
Lets tackle these:
1. What view of human nature is embodied in the
Constitution?
2. Is representative democracy possible without political
compromise?
3. Has the system of separate institutions sharing powers
protected liberty and promoted equality as the Framers
envisioned it would?
Chpt. 3: Federalism
Disclaimer: this chapter may be troubling for some of you. We will work
together on the material and implement examples in modern times to help you
grasp the material. DO NOT PANIC!
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Key Terms to Know:
Block Grants
Categorical Grants
Conditions of Aid
Cooperative federalism
Devolution
Dual federalism
Entitlement Spending
Federalism
Federal system
Gibbons v. Ogden
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Grants in Aid
Initiative
Mandates
McCulloch v. Maryland
Nullification
Referendum
Revenue sharing
Unfunded mandates
Unitary system
Essential Questions to Answer:
• What is the governmental structure
(Federalism)? Do you think it is good or
bad?
• What is the debate on the meaning of
Federalism?
• What are examples of Federal-State
relations?
• What is Federal Aid and Federal Control?
• What is a Devolution Revolution?
Court Cases to Cover:
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McCulloch v. Maryland (Alburl, Chang) (Rogers, Piel)
Gibbons v. Ogden (Bailey, Frot.) (Roos, Pledger)
US v. Darby Lumber (Bartlett, Jeter) (Seagraves, Puga)
Heart of Atlanta Motel v. US (Brummel, Karr)
(Smathers, Reed)
US v. Lopez (Burch, Krae) (Sturm, Rose)
Garcia v. San Antonio Metro (Cole, A, Le) (Tumpson)
Fletcher v. Peck (Cole, S, McGee) (Wilson, Topuzova)
Wisconsin v. Yoder (Daugette, Mode) (Wishon)
Gitlow v. NY (Joshi, Nixon) (Tran)
US v. Morrison (Perry, Noonan) (White)
Brown v. Board…(Poole, Peterson) (LAIRD)
Raich v. Gonzales (Pugh, Pettit) (Moore, Williams)
2004(2005)
Sharing Power:
• Federalism is a political system in which
power is shared between local units of
government-states-and a national
government. Only a handful of the world’s
governments are federal. (U.S., Canada,
Australia, India, Germany, and Switzerland
are examples.) Most are unitary systems,
in which the national government has final
authority over all government activities.
Devolution (Contract w/ America)
Returning more power to the state
governments. A counter-reaction to the
imposition of the federal government during the
civil rights movements of the 1960’s.
The Checkerboard of
Governments
The Census Bureau has counted:
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87,900 governments
3,034 counties
19,431 municipalities
16,506 townships
13,522 school districts
35,356 special districts
50 state governments and 1 national government
Types of Governments in the U.S.
© 2004 Wadsworth Publishing / Thomson Learning™
Prior to 1930
• States were equal to the feds in their sphere of
influence.
Example: Interstate v. Intrastate Commerce
• 10th Amendment
Nullification
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– The Constitution is a contract mutually entered into by the
states and the feds. If the feds void this agreement, the state
has the right to nullify a law, or eventually, the whole contract.
– John C. Calhoun of SC Nullification Crisis over tariffs.
Civil War settled issues of state’s rights
13th, 14th, 15th.
14th Amendment Starts off “no state.”
» Two clauses: Due Process and Equal Protection
Marble Cake Federalism
• Areas of federal government started to spread
into the state’s rights:
• New Deal
• AAA, NRA, FDIC
• Fed gov’t took action into solving problems
• Supreme Court initially struck down these laws as a violation
of state’s rights.
– Court Packing Plan, Eventually, FDR got to appoint new
justices
• WWII
• Rationing
• Feds met needs of returning soldiers: GI Bill and
Housing help
Creative Federalism
Great Society of LBJ
War on Poverty
Medicare
Medicaid
Civil Rights Legislation
Shared costs between states and feds of running
programs
Shared administration of programs
• In order for states to get full financial benefits, had to follow
federal rules
Competitive Federalism
• Richard Nixon/Ronald Reagan wanted to de-centralize
the programs of LBJ
• Give states pieces of the “marble cake” but with strict conditions and
promise to develop their own programs.
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Ex. Crossover Requirements
• For a state to receive money, it must agree to federal rules
• 1974 – If states wanted to receive money to maintain federal
highways, had to lower speed limit to 55.
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Clean Air Act of 1970
• Meet air standards to receive federal road money.
• In 1980’s, the scope of federal programs was reduced, but feds
responded with on strings attached when needs arose (FEMA)
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Hurricane Andrew (1992)
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LA Earthquake (1994)
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Floods of 1993
Fiscal Federalism
(Grants-in-aid)
• Federal funds given to states
• Most federalism it tied to money “Whomever has
the money, has the power.”
• Purpose of these grants is to enable the states to run many
programs at the local level and enable the feds to stay
focused on major goals.
• Three major program areas: Categorical
grants, block grants, revenue sharing
• Two Types of Federal Control on State’s
Spending of money
– Conditions of Aid
– Mandates
Cooperative & Dual Federalism:
• Cooperative: Done in cooperation with others
• Federalism: A system of government in which
power is divided between a central authority and
constituent political units.
• Dual Federalism: though the national
government is supreme in its sphere, the states
are equally supreme in theirs, and these two
spheres of action should and could be kept
separate. Example: Interstate Commerce v.
Intrastate Commerce
McCulloch v. Maryland
How do Cookies Add Up?
The Constitutional Division of
Powers
The Powers of the National Government
Powers Delegated:
– Expressed powers- powers that are clearly
provided for in the Constitution or congressional
laws.
– Implied powers- necessary and proper clause
– Inherent powers- emergency powers
Powers Prohibited:
– Examples: imposing taxes on exports,
establishing a national public school system, and
restricting freedoms.
The Powers of the StatesTENTH AMENDMENT
Police Powers:
• Examples: Regulate commerce within their borders, maintain
a state militia, and establish public schools.
– Powers Prohibited
• Examples: Power to tax products that are transported across
state lines, entering into treaties with other countries.
Concurrent Powers:
– Exercised by both state governments and the federal
government. Example: power to tax.
Powers granted by the Constitution
© 2004 Wadsworth Publishing / Thomson Learning™
Powers denied by the Constitution
© 2004 Wadsworth Publishing / Thomson Learning™
Federalism:
In the U.S., federalism has endured mainly
because of the American commitment to local
self-government and because Congress
consists of people who are elected by and
responsible to local constituencies. Even though
the national government has taken on vast
powers, it often exercises those powers through
state governments. The national government
often finds itself seeking state compliance
through regulations, grants, and other forms of
pressure.
Federalism:
Among Americans, federalism has
its advocates and its
opponents. Advocates argue
that the federal system has
created a unique and
beneficial separation of power
between national and state
governments. It allows for
political flexibility and assures
individual rights. (ending of
segregation)
Opponents often see federalism
as a tool for state governments
to block important national
actions. (allowed slavery,
segregation, racism)
Federalism:
One chief advantage of
federalism: facilitates
political participation
and activity!
Federalism Back Then:
1. McCulloch v. Maryland
1819 (“necessary and
proper” clause)
2. Gibbons v. Ogden 1824
The Struggle for Supremacy
McCulloch v. Maryland (1819)
• The US Supreme Court established the
doctrine of implied powers and the supremacy
clause.
Gibbons v. Ogden (1824)
• The Court defined commerce as including all
business dealings. The power to regulate
interstate commerce was an exclusive national
power with no limitations.
The Civil War
– Secession- the formal withdrawal of southern
states.
Federalism:
Recent and Other Cases:
1. United States v. Lopez 1995
2. Raich v. Gonzales 2004(2005)
3. Brown v. Board of Education 1954
4. Heart of Atlanta Hotel v. U.S. 1964
5. Barron v. Baltimore 1833
6. Gitlow v. New York 1925
7. Wisconsin v. Yoder 1992
The Evolution of Federalism
Dual Federalism
• Both the national and state governments
have separate and distinct functions and
powers.
Cooperative Federalism
• Both levels of governments ought to
cooperate in solving problems facing the
entire United States.
Picket-Fence Federalism
• Specific policies and programs are
administered by all levels of governmentnational, state, and local.
The New Federalism
• Plan to limit the national government’s role
in regulating state governments.
• Devolution: The transfer of power from the
national government to the state and local
governments.
– Example: President Richard Nixon’s revenue
sharing program (we will get to revenue
sharing soon).
Regulated Federalism
• Federal Mandates
– Requirements in federal legislation that compel states
and local governments to comply with specific rules
and regulations.
– Examples: Clean Air Act and Clean Water Act of
1990.
• Unfunded federal mandates.
• Preemption
• Federal authorities take over state or local level
authority.
• Go to: http://www.brook.edu
Competitive Federalism
What is competitive federalism?
• State and local governments compete for
business and citizens.
• Advantage- Americans have many variables
to consider when they choose which state to
live in.
• Disadvantage-a state that offers more social
services or lower taxes may suddenly
experience an increase in population.
From Dual Federalism to
Cooperative Federalism
• Industrialization and Urbanization
• The Great Depression
• The New Deal
Number of Federal Laws
© 2004 Wadsworth Publishing / Thomson Learning™
The Politics of Homeland
Security
• How Much Federal Control over the
“First Responders”?
Federalism and State Monies:
• Categorical Grants are grants for specific purposes
defined by federal law.
• Block Grants started in the 1960s, are grants with few
strings attached in order to support broad programs in
areas such as community development and social
needs. 3 types: operational (state child-care programs),
capital (wastewater treatment plants), entitlement
spending(income to families ex: Social Security)
• Revenue Sharing is federal aid with no requirement as
to matching funds and freedom to spend the money on
almost any governmental purpose. It occurs when there
is a budget surplus.
Examples of State Monies:
• Categorical: (may require matching funds and
very strict on how spent) Head Start: U.S.
educational program for disadvantaged
preschool children; building an airport, building a
dorm
• Block: (may require matching funds and more
lenient on how spent) Entitlement Communities,
Disaster Recovery, law enforcement,
unemployment
• Revenue Sharing: No requirement for matching
funds and freedom to spend the money on
almost any governmental purpose
Which is Which?
National Mandates and the
Rise of Coercive Federalism
• Kennedy—Categorical Grants
• LBJ—Creative Federalism
• Nixon—Revenue Sharing
New Federalism
• Nixon
– block grants
– revenue sharing
• Reagan
– ended revenue sharing
– decrease federal regulations
New New Federalism
• Clinton
– states as policy laboratories
• Gingrich
– devolution
• George W. Bush
– decrease federal regulations
– increased state control of welfare
– decreased state control of education
What does the Federal
Government Give the States
Money to Do?
Ninety-two percent of
the $376.4 billion of
federal government is
sending back to the
states in 2003 is for
programs in these
areas.
Source: Budget of the United States,
Fiscal Year 2003, Analytical
Perspectives (Washington DC: US
Government Printing Office, 2002
Mandates:
Mandates are federal controls on state
government activities outside the context of
grants. Sometimes the federal government tells
a state government what its activities and
policies must be in order to receive grant money.
These stipulations are called conditions of aid.
Conditions of aid can be attached to grants-inaid. Grants-in-aid are categorical and block
grants. Unfunded Mandates are laws passed
by Congress that create expenses for the states
but provide no funds to meet the expenses.
Mandates:
!!most mandates concern civil rights and
environmental protection!!
!!conditions of aid and mandates are the primary
ways that the federal government pressures
state governments!!
!!states must comply with federal mandates and
on the surface most mandates appear to be
quite reasonable. Yet, some mandates are
written in vague language that creates
administrative and financial problems!!
Mandate Examples:
Mandate Examples:
Mandate Examples:
Mandate Examples:
Mandate Examples:
Devolution Revolution: Case Study
• With the election of Republican majorities in the House and Senate
since 1994, a renewed effort was led by Congress to shift important
functions back to the states.
• Welfare – Aid to Families with Dependent Children (AFDC), is a
program for unmarried women to receive aid for their dependent
children. The AFDC was initiated earlier in the 20th century, but in
the 1980s and 1990s abuses in the system began to strain the
federal coffers set aside for the program. Simply put: the number of
women using it and the proportion of births out of wedlock rose
dramatically. President Clinton vetoed the first two bills to cut it
back, but signed the third. It ended any federal guarantee of support
and, subject to certain rules, turned the management over to the
states, aided by federal block grants. The rules said that every
aided woman should begin working within two years and no woman
could receive benefits for more than five years.
• Block grants for Entitlements – the transferring of income to
families and individuals
Whew! We Got Through
Federalism. Any Questions?
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Review Key Terms: Based on YOUR reading of
the chapter are there any terms that are not
clear to you? Speak now, or forever hold your
peace!
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Block Grants
Categorical Grants
Conditions of Aid
Cooperative federalism
Devolution
Dual federalism
Federalism
Federal system
Gibbons v. Ogden
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Grants in Aid
Initiative
Mandates
McCulloch v. Maryland
Nullification
Referendum
Revenue sharing
Unfounded mandates
Unitary system
Essential Questions we should
have answered by now:
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What is the governmental structure (Federalism)? Do you think it is
good or bad?
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What is the debate on the meaning of Federalism?
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What are examples of Federal-State relations?
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What is Federal Aid and Federal Control?
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What is a Devolution Revolution?
Lets Tackle These:
1. Where is sovereignty located in the American political system?
2. How is power divided between the national government and the
states under the Constitution?
3. How has America’s federal system changed since the first days of
the Republic?
4. Chart the Advantages and Disadvantages of Federalism. Use
Modern examples.
Key Concepts to Remember:
1. The Constitution was written as a result of a
combination of historical, social, and political
circumstances and events. Among these are
America’s heritage as a British colony, as well
as the lengthy evolution of representative
government in Great Britain. The Constitution
also mirrors the problems the young nation
faced after the Revolution, the conflicts waged
and the compromises offered at the
Constitutional Convention of 1787, and the
struggle over ratification.
Key Concepts to Remember:
2. The Constitution embodies five basic principles: popular
sovereignty and representative government, tempered
by indirect election; limited government; separation of
powers and checks and balances; federalism; and
judicial review.
3. The unusually long life and durability of the Constitution
owes much to its concise yet flexible text, which has
allowed Congress, the president, and the courts to
interpret the Constitution in ways appropriate for
changing conditions. Because the Constitution has
proven so adaptable, it has not been necessary to
change it frequently through formal amendment. It is
however, an imperfect document.
Key Concepts to Remember:
4. The drafters of the Constitution sought to create
a government capable of governing, promoting
economic development, and maintaining liberty
(individual rights). The Federalist Papers
reflects this philosophy and were written to
convince opponents of ratification. Since
ratification, a movement towards greater political
and social equality has resulted in a series of
amendments that has advanced the cause of
equality while leaving the fundamental structure
unaltered.
Key Concepts to Remember:
5. The Constitution is not neutral in its impact. By
dividing government power among three
branches and between the states and the
national government, it has made quick,
decisive, and comprehensive policy making
difficult. But at the same time, divided
governmental power has provided citizens with
multiple points of access to decisions makers;
encouraged policy making through negotiation,
bargaining, and compromise; and proven
resistant to authoritarian rule.
Key Concepts to Remember:
6. Federalism is a constitutional division of
the powers of government between the
national government and the state
governments, with each exercising
significant powers. It was the “price of
union”- a necessary means for creating
one nation out of thirteen highly
independent states.
Key Concepts to Remember:
7. Until the 1930’s, American federalism was
characterized by the national and state
governments operating in largely separate and
distinct spheres of authority. But with the advent
of the New Deal in the 1930’s and subsequent
extensions of the federal government’s role,
federal-state relations have been characterized
by cooperative federalism, in which
responsibilities are shared among the federal,
state, and local governments.
Key Concepts to Remember:
8. An essential element of cooperative
federalism is the grant-in-aid system,
which transfers funds from the federal
government to the states and localities for
the purpose of carrying out federal
policies. Federal grants have enabled
state and local governments to expand
their services but have also made them
heavily dependent on the federal
government for funds.
Key Concepts to Remember:
9. Because of the expanded role of the
federal government since the 1930’s, the
federal system today is clearly more
centralized than what the Framers
envisioned. Which level of government
should perform which functions and how
those functions should be paid are
continuing sources of conflict and politics.