Unit One: Constitutional
Underpinnings
Mr. Barclay
Alisal High School
AP Government and Politics
Democracy
Democracy is rule by the people
Democracy: Two Types
A. Direct: rule by the people
themselves.
B. Indirect (representative): rule
by elected representatives.
C. Founders' distrust of direct
democracy:
1. Impracticalities.
2. Fleeting passions of the
people --->concern that they
would be swayed by
demagogues.
Republic.
*Same as indirect democracy.
*Solves problems of direct democracy.
“Secures the advantages of direct democracy while
curing its weaknesses.”
Democratic Theory
A. Majoritarian politics view:
leaders are heavily influenced by the
will of the people.
B. Elite politics views:
minorities dominate policy
making
1. Marxist: influence of
economic elites.
2. C. Wright Mills: influence
of power elite: corporate, military,
political (Eisenhower’s “military
industrial complex.”)
3. Max Weber: influence of
bureaucracy.
Pluralist view:
1. Political resources are so scattered that no single
elite has a monopoly on them.
2. There are so many institutions in which power is
exercised that no single elite
could possibly control all of them.
3. Pluralism therefore argues that many groups
compete with each other for control over policy.
Policy is therefore the outcome of political haggling,
innumerable compromises, and ever-shifting alliances
among groups.
D. Hyperpluralist View:
1. "Pluralism gone
sour."
2. There are so
many groups, and they
are so strong, that
government has become
gridlocked and is unable
to act.
IV. Fundamental Democratic Values
A. Popular sovereignty.
B. Respect for the
individual. State serves
individual, not vice versa.
C. Liberty.
D. Equality. Of
opportunity more than
result. Role of FDR’s 2nd
Bill of Rights: economic
security.
V. Fundamental Democratic
Processes
A. Free and fair
elections,
with competing
political parties.
B. Majority rule
w/minority rights. Fear of
“tyranny of the
majority” led to protection
of property rights.
C. Freedom of
expression.
D. Right to assemble and
protest.
VI. Fundamental Democratic
Structures (briefly -- covered in more
detail later)
A. Federalism.
B. Separation of
powers.
C. Checks and
balances.
D. Constitutionalism.
ORIGINS OF THE AMERICAN
REPUBLIC
I. Sources of the Constitution
A. British Customs and Traditions,
e.g., Magna Carta and English
Bill of Rights.
B. European Philosophers, e.g.,
Locke, Hobbes, Montesquieu,
Rousseau
C. Colonial experiences, e.g., power
of elected assembly.
D. State constitutions written after
the Declaration of
Independence, e.g., Preamble
closely resembles the
introduction to the Mass.
Constitution.
II. Constitutional Convention, 1787
A. Background.
Decl. of Indep. ---> Rev. War --->
Articles of Confed. and its
weak central govt.:
No power to tax.
No chief executive.
No national judiciary.
No power to regulate interstate or
foreign commerce.
No national currency.
2. Annapolis Convention,
1786: called to improve
Articles.
3. Shays' Rebellion, 1786
---> necessity of a stronger
national government.
B. Delegates
1.
2.
Characteristics: "well-read, well-bred, well-fed, and well-wed."
Participants:
a. Madison: "Father of Const." because of leadership and
detailed notes of proceedings.
b. Washington: presiding officer
c. Franklin: "elder statesman."
d. Morris: largely responsible for final wording of Const.
e. Hamilton: most forceful advocate for strong central
government.
3. Charles Beard's Economic Interpretation of the United States (1913).
a. Constitution was written by propertied class --->
naturally reflected those interests (although no
conspiracy per se).
b. Rebuttals:
1) Most people owned property.
2) Even the poor, in hopes of someday owning
property, wanted to protect property.
Establishing a democratic government involved risks and dangers
--> need to build in safeguards and protections.
C. Areas of agreement:
1.Scrap the Articles of
Confederation.
2.Establish a republican govt.
3.Establish a constitutional govt.
4.Established a balanced govt.
where no single interest dominated.
5.Suffrage for property owners
only.
6.Stronger central govt. than
under the Articles.
7.Protection of property
rights: the main purpose of govt.
8.Keep the proceedings secret.
D. Areas of disagreement --->
compromises:
1. Representation among the
states.
a. Large states favored the
Virginia Plan: based upon
population.
b. Small states favored the
New Jersey Plan: equal
representation.
c. Connecticut (Great)
Compromise: a bicameral
legislature with a popularlyelected House (based upon
population) and a Senate (equal
rep.) elected by state
legislatures.
D. Areas of disagreement --->
compromises:
2. Representation and taxation of
slaves.
a. Northern states wanted
slaves to count for taxation, but
not representation.
b. Southern states wanted
the opposite.
c. 3/5 Compromise: 3/5 of
the slaves would count for both
purposes (3/5 was the ratio
that would yield equal
representation among northern
and southern states).
D. Areas of Disagreement --->
Compromises:
Election of the President.
a. Life term v. annual
election ---> compromise
of a 4-year term.
b. Method of election:
1) Some wanted election by
Congress.
2) Some wanted election by
state legislatures.
3) Some wanted direct
election.
4) Compromise: Electoral
College system.
E. Ratification Politics
1. Federalists:
a. Supporters:
property owners, creditors,
merchants.
b. Views
1) Elites most fit to
govern.
2) Feared "excesses"
of democracy.
3) Favored strong
central government.
c. Leaders: Hamilton,
Madison, Washington, Jay.
2. Antifederalists:
a. Supporters: small farmers,
frontiersmen, debtors,
shopkeepers.
b. Views.
1) Feared concentration of
power in hands of elites.
2)Believed that govt.
should be closer to the people.
3)Feared strong central
government. Favored
stronger state govts.
4) Feared the lack of Bill
of Rights -- their strongest
argument.
c. Leaders: Henry, Mason, Gerry.
3.
Federalist Advantages:
a. Were better represented in
state legislatures.
b. Controlled the press.
c. Began ratification
procedures quickly before
Antifederalists could get organized.
d. Agreed to a Bill of Rights
after ratification of the Const.
4. The Federalist Papers:
Madison, Hamilton, and Jay. To
rally support for ratification of the
Constitution.
5. Ratification, 1788: by state
ratifying conventions of
popularly-elected delegates.
I. Separation of Powers
I. Separation of powers.
A.
To Madison, tyranny was
govt. that controlled all 3
branches of govt. ---> Division
of power among the legislative,
executive, and judicial branches.
B.
This system diffuses power
instead of concentrating
power.
C.
Influence of Montesquieu.
D. Colonial experiences, e.g.,
excessive power in st. legislatures
 need for strong exec.
E.
Danger of one branch
combining forces with another
branch ---> checks and balances.
II. Checks and Balances
A.
1.
2.
Background.
18th century view of govt. as something to be restrained, and modern view of
govt. as something to be used for the common good.
Fear of tyranny among Founders ---> distrust of govt. ---> checks and
balances as means of intentionally building inefficiency in order to prevent
govt. abuse of power.
B. System of restraints in which each branch can check the other two. Reflects
fear of tyranny.
C. Examples: veto, veto override, appointment and confirmation, treatymaking and ratification, defense funding and Commander-In-Chief.
D. Political independence within each branch: no branch is dependent upon
the other two for election (exception: judges are appt'd by President) and
continuance in office (life terms for judges ameliorate presidential influence).
E. Staggering of terms within each branch -> a majority of voters can gain
control over one part of govt. at one time, e.g., midterm cong. elections can
serve as a check on the exec.
F. Modifications of checks and balances: examine if the following strengthen
or weaken checks and balances.
Checks and Balances
II. Checks and Balances
1.
a.
Political parties.
In theory, should weaken checks and
balances -- a way of bringing the
branches of govt. together. Const.
divides govt., but parties bring
people in govt. together.
b.
In reality, however, parties are weak:
Dominance of only 2 parties --->
each party has wide range of interests
---> much disagreement within each
party itself ---> difficult to assert such
strong control
c.
Prevalence of divided govt., i.e., a
Pres. of one party and a Cong. of the
other.
II. Checks and Balances
2. Changes in voting methods.
a. Senators now chosen by
people.
b. Congressmen also chosen by
people.
c. Presidents chosen by electors
who vote as the people have
voted.
-- Thus, members of two
branches essentially chosen by
same electorate --->
weakening of checks and
balances in theory; however,
split ticket voting has changed
this.
II. Checks and Balances
3. Growth of federal bureaucracy.
a. Development of numerous
agencies w/legislative,
executive, and judicial
functions.
b. Congress often grants broad
authority to agencies and lets
them carry out the general will
of Congress, e.g., Congress
established an IRS to collect
taxes, and then granted the IRS
authority to help write the tax
code, enforce the tax code, and
settle disputes over the tax code.
-- Thus, growth of bureaucracy
has caused a weakening of
checks and balances.
II. Checks and Balances
4. Changes in technology, e.g.,
nukes, computers, fax machines,
satellite communications: Two
views:
a. President, Congress, interest
groups, media have all been able
to take advantage of the new
technologies ---> strengthening
of checks and balances.
b. President has been especially
able to take advantage of these
("electronic throne"), e.g.,
“staged event” of Bush landing
on an aircraft carrier --->
weakening of checks and
balances.
II. Checks and Balances
5. Emergence of U.S. as world
power after WWII.
a. Areas of "national interest"
extend around the world.
-U.S. is leader of free
world.
-U.S. is only remaining
superpower after Cold War
b. With such heavy
responsibilities, any crisis seems
to involve U.S. somehow.
---> These responsibilities
need to be dealt with in a strong
and efficient manner --->power
has concentrated in executive
branch ("imperial presidency")
---> weakening of checks and
balances.
III. Limited Government
Limited government: dilemma of
wanting a more effective government,
but also a limited government that did
not become tyrannical.
A. Constitutional government: govt.
has only those powers listed in Const.
B. Bill of Rights as a safeguard
against possible tyranny from a new,
strong, distant government. Little fear
of state govts, but great fear of
national govt. Amendment 10 reflects
view that states would have substantial
powers: central govt. could exercise
only those powers delegated to it by
the Const. States would have all else.
Free elections, but potential of majority
faction ---> Madison's "auxiliary
precautions."
IV. Judicial review.
A.
Power of courts to strike down laws or
governmental actions.
B
Not explicitly provided for in Const., but
Const. written in broad terms ---> need
for interpretation ---> this most logically
falls to the courts.
C.
Established by Marbury v. Madison, 1803:
1. Facts of case: the end of Federalist
control of govt. and appointment of the
"midnight judges," including Marbury --> Jefferson ordered Madison to not
deliver commissions to these judges -->Marbury's request for a writ of
mandamus (under Sect. 13 of Jud. Act. of
1789) from the Supreme Court to order
the delivery of his commission.
2. Decision of Marshall and the Court:
section 13 of Judiciary Act of 1789
enabling the Court to issue a writ of
mandamus through original jurisdiction
in this type of case was unconstitutional.
IV. Judicial Review
3. Analysis.
a. Marshall ruled that the Court did
not have the authority to issue the
writ, but he paradoxically increased
its power by establishing judicial
review when the Court struck down
section 13.
b. Jefferson couldn't complain
because the midnight judges didn't
receive their appointments, but he
fumed because his enemy,
Federalist John Marshall, increased
the power of the Court.
Effects of judicial review: citizens
can challenge constitutionality of
laws in court by initiating lawsuits
(example: Gideon v. Wainright,
1963)  litigation has become an
important way of making public
policy.
Chief Justice John Marshall
V.
Changing the Constitution
informally
A. Const. a framework ---> details to be filled in later.
B. Due to difficulties of formally changing Const., informal ways
developed:
1. Acts of Congress (e.g., Judiciary Act of
1789).
2. Judicial rulings (e.g., Plessy v. Ferguson,
Brown v. Board, Texas v. Johnson,
Lawrence v. Texas).
3. Presidential actions (e.g., police actions since WWII,
executive privilege, impoundment).
4. Customs and traditions (e.g., Cabinet, parties, committee
system in Cong., senatorial courtesy, legislative veto,
presidential nominating conventions)
“Constitution belongs to the living, not the dead” (Jefferson):
Jefferson believed each generation might need new Const.
This hasn’t occurred because of the informal changes that have
allowed the Constitution to adapt to changing times.
VI. Changing the Constitution
formally, i.e. adding Amendments.
A. Legacy of Articles:
Unanimous vote to amend ---->
impractical ---> desire to make
process easier, but not too easy.
B. Reasons for recent
popularity of proposing
Amendments (e.g., balanced
budget, D.C.
statehood, ERA).
1. Dissatisfaction by
interest groups with court
decisions, e.g., flag burning
decision
2. Gridlock in Congress.
VI. Changing the Constitution
formally, i.e. adding Amendments.
C. Process of amending reflects federal system.
1. Proposal.
a. 2/3 vote from both houses of
Congress (all done this way). No
presidential veto possible.
b. Const. convention called by
Congress at request of 2/3 of
states --->serious implications and fears of
such a gathering:
1) Never used before.
2) Fear of "runaway" convention that
might get out of hand and implement
wholesale changes in the Const.
3) Disturbing questions: Will
convention stick to only the matter
at hand? Will it take on other issues? Who
gets to be delegates? How are they
selected? How is representation among the
states to be determined?
VI. Changing the Constitution Formally, i.e.
adding Amendments
Ratification: 2 methods. Congress decides
which shall be used.
a.
3/4 of state legislatures.
1) All but one (21st) done this way.
2) Most state legislatures ratify
w/simple majority, but some require a
"supermajority." (e.g., 3/5, 2/3, 3/4)
b. Ratifying conventions in 3/4 of
states.
c.
Amendment 21 done this way.
A more directly democratic way: people
elect delegates who state their positions
on the proposed amendment. Citizens
are in essence casting their votes on the
amendment by voting for the appropriate
delegates. Time limits for ratification:
generally 7 years (exception of ERA).
ORIGINS OF AMERICAN
FEDERALISM
Federalism: constitutional division of power
between the national govt. and state govts.
Both get their powers from a Constitution,
not each other.
II. Reasons for federal system in U.S.
A. Unitary system (where a central
government rather than a constitution
delegates power) was undesirable -- too
reminiscent of British rule. Fear of
strong, distant govt.
B. Confederate system undesirable -- too
reminiscent of Articles.
C. Allows unity, but not uniformity -allows for differences among states.
D. More suitable for geographically large
nation -- allows for differences among
states.
E. More suitable for heterogeneous
people -- allows for differences
Reasons for Federal System in U.S
F.
More likely to check tyranny:
1. If tyranny occurred in a few
states, fed. govt. could prevent its
spread to others. (e.g., Shays'
Rebellion)
2. National govt. has only
those powers granted to it -- all
others belong to states through
Amendment 10.
-- Cost of checking tyranny is at
times inefficiency, but Founders
more interested in checking tyranny
than in having a strong and
effective govt. that could run
roughshod over the people's
liberties.
Reasons for federal system in U.S
G.
Frees national govt. to
concentrate on truly national matters.
H. Frees states from excessive
intrusion on strictly state/local matters
(but discuss problem of growth of
federal mandates, and esp. unfunded
mandates).
I. Encourages experimentation -states as "laboratories" (e.g. legalized
gambling in Nevada has spread to
other states, CA legalization of
medical marijuana has been adopted
by a few other states)
J.
Keeps govt. closer to people.
Multiple points of access for citizens.
Dual Federalism
1. Prevalent through
~1937.
2. State governments and
national government each
remained supreme within their
own spheres.
3. Powers and policy
assignments of the layers of
govt. were distinct, as in a layer
cake.
4. Suggested that the
powers of the national govt.
should be interpreted narrowly.
Cooperative (“Marble Cake”)
Federalism.
1. Prevalent since ~1937.
2. Mingling of
responsibilities between the
state and national govt.
3. Sharing of powers and
policy assignments, as in a
marble cake.
4. Suggests that powers
of the national govt.
should be interpreted
broadly.
New Federalism
1. Shifting of some
authority from national
govt. back to the states.
2. Associated with
Nixon, Reagan, and esp.
associated with 104th and
105th Republican
Congress: “Devolution
Revolution”
3. Example: use of
block grants in welfare
reform bill of 1996.
STRUCTURE OF AMERICAN
FEDERALISM
I.
National powers. National
govt. has 3 categories of
powers that are delegated to it.
Here are the categories of the
delegated powers:
A. Expressed (enumerated):
actually stated in the Const.
B. Implied: not stated
explicitly, but suggested
implicitly.
Importance of elastic clause.
C. Inherent: not stated
explicitly, but held by the
national
govt. by virtue of its being a
national govt. Any govt. is
entitled to certain foreign
policy powers such as
diplomatic recognition,
acquiring territory, or
defending
itself.
STRUCTURE OF AMERICAN
FEDERALISM
II. State powers: reserved
A. Amendment 10 states that any
powers not granted to the
national govt. are reserved for
the states.
B. Examples: establishing voting
requirements, running elections,
licensing professionals,
protecting community health,
establishing a vehicle code.
STRUCTURE OF AMERICAN
FEDERALISM
III.
Concurrent powers.
A. Granted to Congress,
but not denied by Const.
or courts to the states --->
held by both national and
state govts.
B. Examples: taxing,
borrowing, establishing
court
system, establishing law
enforcement agencies.
C. Questions of
fed./state authority are
decided by courts.
STRUCTURE OF AMERICAN
FEDERALISM
IV. National supremacy (Article VI):
national govt. supreme in case of
conflict.
STRUCTURE OF AMERICAN
FEDERALISM
V. Obligations of national
govt. to the states
A. Guarantee each state a
republican form of
govt.
B. Protect each state
against invasion or
domestic violence.
C. Grant new states the
same rights as other
states.
STRUCTURE OF AMERICAN
FEDERALISM
VI. Obligations of state govts.
A. Full faith and credit clause: each state must honor the public acts, records
and legal proceedings of other states, e.g., birth certificates, marriages,
debts.
1.
2.
Four states (MA, VT, IA, CT) have legalized same-sex marriages.
However, in the 1990s Congress passed the Defense of Marriage Act,
which allowed each state to define marriage, and in effect not
recognize gay marriage if the state defined marriage as the union of a
man and a woman.
B. Privileges and immunities clause: each state must grant to citizens of
other states the same rights and privileges that they grant to their own
citizens, i.e., states cannot unreasonably discriminate against citizens of
other states.
C. Extradition: Governors must return suspects to the states in which they
allegedly committed their crimes.
D. Interstate compacts require consent of Congress.
DECENTRALISM (STATES' RIGHTS) V. CENTRALISM
(NATIONALIST)
I. Decentralist (states' rights) approach.
A. Const. a compact created by states --->
implies strong state authority.
B. Const. carefully limits national
authority to delegated powers.
C. 10th Amendment gives broad powers to
states.
D. When in doubt as to which holds a
power, matter should be resolved in favor
of states.
E. Implies strict constructionist approach
to Constitution
F. National govt. has gotten too big and
impersonal.
G. State govts. are closer to the people.
H. Followers: Calhoun, Goldwater,
Reagan, southern conservatives, western
conservatives, Christian
fundamentalists, Newt Gingrich, Bush 43
DECENTRALISM (STATES' RIGHTS) V. CENTRALISM
(NATIONALIST)
II. Centralist (nationalist) approach.
A. Const. created by people ("We the people ..."), and not the
states.
B. Elastic, commerce, and taxing/spending clauses give great
power to national govt.
C. Powers go to states only if they have been surrendered by
national govt.
D. When in doubt, matter should be resolved in favor of national
govt.
E. Implies loose constructionist approach to Constitution.
F. Size of federal bureaucracy has remained relatively constant
for last 40 years.
G. While state govts. may be closer to people, some of those state
govts. have violated people's basic rights (e.g., South during
first 70 years of 20th century) -- national govt. has been key
protector of rights.
H. Followers: Hamilton, Marshall, Webster, TR, FDR, JFK, LBJ,
Clinton, Obama
III. Triumph of nationalist approach:
McCulloch v. Maryland, 1819
A. Maryland attempted to tax a branch of the
Bank of the U.S.:
1. It argued that taxing was one of its
reserved powers.
2. In addition, it argued that the Bank
was unconstitutional, anyway.
B. The Court's decision (under Marshall):
1. Need for a more flexible interpretation
of the Const. so that it would endure -> Bank
was "necessary and proper" ---> establishment
of implied powers.
2. "Power to tax involves power to
destroy" ---> states clearly not free to destroy
the national govt. ---> establishment of national
supremacy.
IV. Sources of National Strength.
A. Elastic clause: Congress can pass laws “necessary and proper” to carry out
expressed powers.
B. War powers.
C. Commerce clause: virtually anything is interstate or foreign commerce 
Congress can regulate virtually anything.
D. Power to tax and spend for the “common defense and the general welfare.”
1. While Congress cannot technically legislate on everything, it can
spend funds on virtually everything.
2. States don't have to accept federal money, but if they do, they must
follow federal guidelines (e.g., fed. highway funds can be denied if a
state’s alcohol purchasing age is less than 21, fed. education funds
can be denied if states do not comply w/No Child Left Behind Act)
-- Federal "strings" attached to funding are ways in which the
federal govt. can get its way on things.
E. Preemption of state laws by fed. courts if laws in conflict w/Const. or fed.
laws.
F. Imposition of federal mandates (some unfunded) on states
V. Recent Developments.
A. Evolution towards greater federal
control throughout most of 20th
century.
B. Nixon's "New Federalism:"
returning some power back to states.
Also favored by Reagan, both
Bushes, and Republican Party in general
C. Republican victory in cong. elections
of 1994 ---> Contract with America and
devolution of power back to states:
1. Unfunded Mandates Reform Act
of 1995 restricted future unfunded
mandates.
2. Use of block grants to replace
categorical grants.
1996 welfare reform bill that ended
welfare as fed. entitlement. (Save details
of this bill for tomorrow) Repeal of 55
m.p.h. speed limit.
V. Recent Developments
E. Supreme Court actions consistent with devolution:
1.
2.
3.
4.
5.
Struck down Gun Free School Zones Act in 1995 in US v. Lopez:
Congress overextended itself when it linked gun control laws to the
interstate commerce clause of the Constitution.
Struck down part of the Violence Against Women Act in US v. Morrison
(2000), saying that rape victims could not sue their attackers in federal
court because it was up to the states – not Congress – to give such help to
women victimized by violence. Again, the Court said that the Congress
overextended itself with the use of the interstate commerce clause in
passing the Act.
Struck down Religious Freedom Restoration Act in 1993: This act had
restricted the power of the states to regulate religion -> this ruling gave
states greater authority to regulate religion.
Struck down Brady Act in 1997 that required local law enforcement
agencies to do background checks on gun buyers.
Upheld an Indiana law that required photo ID for voting (Crawford v.
Marion County Election Board and Indiana Democratic Party v. Rokita,
2008)
FEDERALISM AND FEDERAL
GRANTS

As national govt. has
grown more powerful, it
has used state and local
govts. to administer
programs that are federally
funded ---> development
of federal grants to state
and local govts. Dollar
amounts of these have
consistently risen in last
several decades, though
there has been variation in
grants as a percentage of
federal expenditures.
Purposes of Fed. Grants
A. Reduces growth of fed.
bureaucracy -- fed. govt.
simply provides money to states
and has states run the
programs (under fed. guidelines,
of course).
B. Supplies state and local govts.
w/needed revenue.
C. Establishes minimum fed.
standards in important areas
(air quality, water quality)
D. Equalizes resources among rich
and poor states.
Types of Fed. Grants
A. Categorical.
1. For specific programs
(e.g., roads, airports, housing,
bilingual education).
2. National govt. agrees to
pay a portion of the costs for
these, and states pick up the
balance --> these sometimes called
"formula grants" because
grants are offered under a
payment
formula (e.g., 80%-20%).
3. States don't have to
accept these, but if they do
they must comply w/fed.
standards.
Types of fed. grants.
B. Project.
1. States apply for grants for specific projects.
2. "Grantsmanship:" state competition for
grants has led to development of the fine art
of “grant writing”
Types of fed. grants.
C.
Block.
1.Granted to support a
collection of general programs
(e.g., urban development,
transportation) ---> more state
leeway in spending of the
money.
2. Associate these w/104th
and 105th Republican Congress
and devolution of power back to
states.
D.
Analyze these types of
grants from centralist and
decentralist positions.
The Politics of Federal Grants








Democrats have generally favored greater funding, but with
more “strings” associated with categorical grants.
Republicans have generally favored less funding, but with fewer
“strings” associated with block grants. Welfare is an example of
this:
End to entitlement status of AFDC and federal guarantee of
welfare checks with passage in 1996 of Personal Responsibility
and Work Opportunity Reconciliation Act (Welfare Reform Act
of 1996)
Welfare block grants therefore replaced the welfare categorical
grants.
Even as a block grant, the Welfare Reform act involved federal
“strings:”
No fed. funds go to recipients who have not worked within 2 yrs.
No fed. funds go to recipients who have received fed. money > 5
yrs.
States must spend at least 75% of what they had previously spent
on welfare – this to avoid the “race to the bottom.”
The Politics of Federal Grants
An exception to the “fewer strings”
approach by the Republican Party
is its support of the No Child Left
Behind Act of 2002: In order to
receive federal funds for education,
states must:
1. Adopt subject matter standards
2. Test all students in grades 3-8 on
those standards
3. Identify low-performing schools
based upon that testing
4. Require low-performing schools to
develop improvement plans
5. Allow parents of students in such
schools that do not improve to
transfer to other public schools
FEDERAL MANDATES
•
•
•
Mandate: a federal
order imposed upon
states. Examples:
Americans with
Disabilities Act.
Various environmental
acts, e.g., Clean Air
Act, Clean Water Act
Individuals with
Disabilities Education
Act
FEDERAL MANDATES
Purposes: to meet a goal of the
federal government
Mandates and Their Impact upon
the states:
•
Financial burdens, esp. with
unfunded mandates, e.g., ADA
has imposed large costs upon
states as they make “reasonable
accommodations” for the
disabled.
•
State complaints about federal
heavy-handedness, e.g., if a
state does not devise a plan and
pay for the requirements of the
Clean Air Act of 1990, the
federal government will impose
its own plan upon the state.
•
State complaints about federal
blackmail, e.g., if a state doesn’t
comply with the Clean Air Act
standards, federal funds can be
withheld in other programs.
Republican Response to Mandates:
*Unfunded Mandates Reform Act
of 1995 (part of Contract
w/America) restricted future
unfunded mandates
*Required CBO to analyze impact
of unfunded mandates on
states.
*Requires separate congressional
vote on bills that impose
unfunded mandates.
B. This is another example of
the Devolution Revolution
associated with the 104th
Congress.
POLITICS OF AMERICAN FEDERALISM
Nonconstitutional reasons for triumph of
nationalist approach.
A. Growth of U.S. in size and population --->
large problems only national govt. could handle.
B. Problems tend to be more national (and even
international) in scope, e.g., pollution, crime,
global economy.
C. Improved communication and transportation - Washington D.C. not so far away.
D. Historical developments (New Deal, WWII,
Great Society) created huge bureaucracies and
constituencies to support a strong fed. govt. Once
federal programs are started, they are difficult to
end because of the political support that has
developed for them.
Backlash Against Big Government
A. General consensus in late70s that power of govt. had gone
too far.
B. 4 of last 5 Presidents have
been "outsiders" (Carter,
Reagan, Clinton, Bush 43).
C. Questionable effectiveness
of some fed. programs, e.g.,
Great Society programs
D.
Tax revolt (Prop 13,
Mondale's "pledge" to raise
taxes, Reagan tax cuts, Bush
41’s "read my lips," tax cuts
even under Clinton, Bush 43 tax
cuts).
Backlash against big government
E. Reduction of Great Society-style
fed. aid to cities, and restoration of
principle that states should take on
more responsibilities:
1. Reduction of categorical
grants.
2. Increased use of block
grants.
3. Reduction of fed.
regulations, e.g. granting of
waivers to states that want to
experiment with welfare reform.
4. 1996 welfare reform bill that
ended welfare as federal
entitlement.
5. Restrictions on future
unfunded mandates as part of
Contract with America.
Effects of New Federalism and
Devolution Revolution: a mixed bag.
Clinton declared in 1996 that “The
era of big government is over.”
Supporting evidence of this:
-Welfare reform bill,
-Repeal of 55 m.p.h. limit
-Restrictions on future
unfunded mandates
-More block grants/less
categorical grants.
Tax cuts under both Clinton and
Bush 43
Effects of New Federalism and
Devolution Revolution
However, even Republican Congresses increased national
power:
1. 9-11 and an increase in big government to deal with
terrorism.
2. Wars in Afghanistan and Iraq led to huge military
spending increases. Massive budget deficits (>$500
billion) under Bush 43
USA Patriot Act of 2002 gave strong powers to national
government to deal w/terrorism
NCLB Act imposed significant burdens upon states.
Addition of prescription drug benefit for Medicare, a
program that was/is already under tremendous financial
pressure.
Huge growth in congressional “earmarks:” pet projects
that members of Congress set aside for their
districts/states.
Effects

Economic crisis of 2008-2009 led to massive
federal spending bills to stimulate the economy
and bail out failing corporations. The 2009
deficit alone was ~ $1 trillion, which was what
the entire national debt was in 1980. Given this
kind of spending, and given the renewed
regulatory role of the federal government in the
economy, it is difficult to say that “the era of big
government is over.”