Unit 1: Constitutional
Underpinnings and Federalism
Chapters 1-3
Unit Outline & Timeline
I. Constitutional Underpinnings of United
States Government (5-15%)
A. Considerations that influenced the formulation
and adoption of the Constitution
B. Separation of powers
C. Federalism
D. Theories of democratic government
GA Standards
SSCG1
• The student will demonstrate knowledge of the political philosophies that
shaped the development of United States constitutional government.
SSCG2
• The student will analyze the natural rights philosophy and the nature of
government expressed in the Declaration of Independence.
SSCG3
• The student will demonstrate knowledge of the United States Constitution.
SSCG4
• The student will demonstrate knowledge of the organization and powers of the
national government.
SSCG5
• The student will demonstrate knowledge of the federal system of government
described in the United States Constitution.
SSCG19
• The student will compare and contrast governments that are unitary, conferral,
and federal governments; unitary, oligarchic and democratic governments; and
presidential and parliamentary governments.
https://www.youtube.com/watc
h?v=AnHW_t8Qwwc
THE POLITICAL
LANDSCAPE
CHAPTER 1
Intro activity: Two choices
• What is democracy?
• What are the top 5
purposes of gov’t?
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!!!
Basic Functions of Government
*Government + Politics = Public Policy*
• Government: institutions of decision-makers
with power to enforce rules & create public
policy for society
U.S. Institutions
• Gov’t powers:
Congress
– Legislative:
President & Bureaucracy
– Executive:
Federal Courts
– Judicial:
Basic Functions of Government
• Share the class’
responses…
• According to the
Preamble:
– Establish justice
– Ensure domestic
tranquility
– Provide for the common
defense
– Promote the general
welfare
– Secure the blessings of
liberty
Need for Government & Power
• Purpose of gov’ts rules = to enforce order
and stability
• Citizens obey gov’t b/c it has authority to
make & enforce law
– Authority: ultimate right to enforce
compliance with decisions
– US: gov’t has authority b/c we choose
our lawmakers
• Also follow laws b/c they have legitimacy
– And so deserve compliance b/c laws
made through accepted political process
What is Politics?
• Politics: A process that regulates how
conflict is resolved within a society
• Three major conflicts
1. Ppl differ over their beliefs [religious/personal]
2. Ppl differ over goals of society
3. Ppl differ over how gov’t spends its limited
resources
• H. Lasswell – “Who gets what, when and how”
Types of Government
• Unitary
• Confederate
• Federal
• Totalitarian
• Oligarchy
• Monarchy
• Anarchy
• Democracy
• Presidential vs. Parliamentary
Structures of Government: Rulers
• Autocracy- rule by one
• Dictatorship- rule
through fear or force
• Monarchy- power is
inherited
– Absolute monarchKing or Queen
– Constitutional
Monarch/Parliament
ary Gov’t - has a King
or Queen but the
Parliament runs the
government.
• Oligarchy- rule by a
few
• Democracy- rule by
all
– Direct- everyone
votes on
everything
– RepresentativeChoose people to
speak on our
behalf
Structures of Government
Power choices:
Governing systems:
• Anarchy- No government,
chaos
• Unitary- national
government rules
• TotalitarianismGovernment controls
everything – total control
• Confederation- State
government rules
• Limited Government Government allows
individual
freedom/choice
• Federal State- State and
national governments
share power
Review for yesterday
• Take any of the content learned yesterday and
create a new stanza to one of the following
songs/poems:
– Mary Had a Little Lamb
– The Itsy Bitsy Spider
– Row, row, row your boat
– Roses are red
• You have 5 minutes before we share.
US Government
• The United States is a
Democratic Republic
(practicing
representative/indirect
democracy) with a
limited Federal System.
• I love those words…
Democracy
• Democracy = gov’t by the people – ppl have
the ultimate political authority
– Roots: Ancient Greece, Montesquieu, Locke
• Separated into two types:
– Direct democracy: ppl eligible to participate
vote directly on laws, selection of officials,
gov’t decisions
– Indirect/Representative democracy:
eligible ppl elect officials to make decisions
for them – govern, passing laws [aka a
REPUBLIC]
Democracy
**Democracy assumes (1)the electorate is
capable of making rational decisions &
(2)willing to invest time to make decisions
– Founders somewhat skeptical …
• U.S. uses a republic: makes limits on those
who govern, allow the ppl to speak thru
free & frequent elections
Theories of American Democracy
• Pluralism: numerous groups [factions] compete for
control of policy agenda –> no group dominates, so
results in compromise on policy & group alliances
– “ambition counteracts ambition”; centrist
positions prevail
• Elite/Class Theory: society is divided by class &
ruled by small, upper-class group
• Hyperpluralism: too many powerful groups compete
for control, gov’t is unable to act
– No one will agree/compromise = confusing,
contradictory policy or gridlock (no policy)
– Does not consider general public interest
Challenges of Democracy
• Increased complexity of
issues –> harder for citizens
to make decisions
• Limited participation in gov’t –
> esp. voting
Don’t forget Capitalism
• http://www.nbc.com/parks-andrecreation/video/ron-oncapitalism/n33821?onid=182506#vc182506=1
Activity:
Democracy Critical
Thinking
Where did all these gov’t
ideas come from?
Theories of Government
• Divine right- power to rule comes from God and
can not be taken away
• Enlightenment
– Challenged traditional views between people and
their gov’t
– Reason
– Natural laws
• Social Contract- People give power to one leader
in exchange for protection- you give up some
rights.
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
– 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 gov’t life would
be “nasty, brutish,
short.”
– Gov’t 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 gov’t brakes the
contract – get rid of it!
• Montesquieu
– Gov’t 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 from
“freedom FROM to freedom TO.”
• Egalitarianism – equality of opportunity
• Individualism
• Religious faith
• Popular consent/majority rule
• Popular sovereignty
• Civil society
Changing Characteristics of the
American People
• From 4 million at the time of the Constitution,
to 320 today.
• More ethnically diverse (largest categories)
– White 66%, Hispanic 15%, Black 12%, Asian 4%
• Life expectancy was 35 (Constitution Era) now
is between 75-80.
• Smaller families, more divorce, more blended
families
What all this change means…
• 90% of Americans believe illegal immigration
is a big issue (not a new thing).
• Affirmative Action plans are needed and then
come under attack.
• More Social Security and Medicare needed,
but less money coming in.
Political Ideology: Its role in the
world and in American politics
Ideology
• A comprehensive set of beliefs about the
nature of people, institutions and the role of
gov’t
– Overall, American ideology tends to be moderate
• Conservatives:
– Economics: advocate limited gov’t involvement; up
to individual to decide to redistribute wealth
– Social issues: want gov’t involvement to preserve
traditional values & lifestyles
– Freedom vs. Order: gov’ts primary role is to
preserve order
• Liberals:
Ideology
– Economics: favor gov’t regulation of
economy to promote minimum “standard of
living” for ppl living in U.S.
– Social issues: limited gov’t role – social
freedom seen as necessity for good of
society
– Freedom vs. Order: Don’t want to give up
freedoms to preserve order
• Libertarians (small % of Americans)
– One who favors a free market economy and no
governmental interference in personal liberties.
Current Attitudes Toward American
Gov’t
• American public has high/unrealistic
expectations.
– Expectations not met? Lack of apathy and
cynicism – low voter turnout.
• Distrust makes people blame gov’t for their
woes – personal and societal.
• Fail to credit the gov’t for what they do well.
• 2005 poll – 23% Americans TRUST politicians.
• Voter apathy.
THE CONSTITUTION
CHAPTER 2
Crash Course:
https://www.youtube.com/watch?v=bO7FQsCcbD8
Assign the Constitution Study Guide now – it’s a bear…
Road to Revolution
• Why did colonists settle America?
• Jamestown (VA): representative
assembly
• Plymouth (MA): Mayflower Compact
– Social Contract; consent of governed
• “Taxation w/o representation”
• 1st and 2nd Continental
Congresses
Declaration of Independence
• Lists philosophy, grievances, & right to
revolution
• Remember the Enlightenment??
– NATURAL RIGHTS:
• “unalienable” rights based on one’s humanity; natural
law superior to man-made laws
• Locke: “life, liberty, & property”
– Jefferson: Life, Liberty, & happiness
– SOCIAL CONTRACT
• Rousseau – consent of governed: limited gov’t,
equality
The Declaration of Independence
•
“We hold these truths to be selfevident that all men are created
equal”
•
“They are endowed by their
Creator with certain
UNALIENABLE rights”
•
“Among those rights are “Life,
liberty and the pursuit of
happiness”
•
“To secure those rights,
governments are INSTITUTED
among men…deriving their
powers from the consent of the
governed”
The Four Stanzas of
the Declaration of
Independence
• Part One: The Preamble, an explanation of purpose.
• Part Two: An explanation of the political ideas upon
which the document was based. Emphasized “Natural
Rights”, such as life, liberty and the pursuit of
happiness.
• Part Three: A list of grievances against King George III
(examples on following slide).
• Part Four: A resolution that “…these United Colonies
are…and of right ought to be Free and Independent States.
LOCKE IN SECOND TREATISE OF CIVIL
GOVERNMENT
JEFFERSON IN THE DECLARATION OF
INDEPENDENCE
"When any one, or more, shall take upon them to make laws
whom the people have not appointed so to do, they make laws
without authority, which the people are not therefore bound to
obey; by which means they come again to be out of
subjection, and may constitute to themselves a new
legislature."
"When in the course of human events, it becomes necessary
for one people to dissolve the political bands that have
connected them with another, and to assume, among the
powers of the earth, the separate and equal station to which
the laws of nature and of nature's God entitle them..."
"Whosoever uses force without right...puts himself into a state
of war with those against whom he so uses it, and in that state
all former ties are canceled, all other rights cease, and
everyone has a right to defend himself, and to resist the
aggressor..."
"But when a long train of abuses and usurpations, pursuing
invariably the same object, evinces a design to reduce them
under absolute despotism, it is their right, it is their duty, to
throw off such government..."
"A state also of equality, wherein all the power and
jurisdiction is reciprocal, no one having more than another..."
"We hold these truths to be self-evident: That all men are
created equal;"
"[men] have a mind to unite for the mutual preservation of
their lives, liberties, and....property."
" that they are endowed by their Creator with certain
unalienable rights, that among these are life, liberty, and the
pursuit of happiness."
" To great and chief end, therefore, of men uniting into
" that to secure these rights, governments are instituted
commonwealths, and putting themselves under government, is among men, deriving their just powers from the consent of
the preservation of their property...."
the governed."
https://www.youtube.com/watc
h?v=bO7FQsCcbD8
Crash Course: The Articles, The
Constitution and Federalism
The first attempt at creating a gov’t:
Articles of Confederation, 1777-1789
• First written plan of government
for newly independent states
• States have most power
• One vote per state; unicameral
congress
• Did not provide for powers
needed in central gov’t (i.e. tax)
Under the Articles, Congress could…
• Borrow or
request money
from the states
• Declare war
• Maintain an army
and navy
• Make treaties and
alliances
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 couldn’t pay the army
• Congress couldn’t enforce it’s 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
couldn’t pay taxes in specie.
– They revolted.
• 1786-87: series of armed
attacks on courthouses to
prevent foreclosures
• People realized the AOC were too
weak and couldn’t protect citizens.
– New gov’t needed!
Differing Views of Shays’ Rebellion
• Thomas Jefferson: "A little rebellion now and then
is a good thing. It is a medicine necessary for the
sound health of government. God forbid that we
should ever be twenty years without such a
rebellion.”
– Translation: The rebellion was NO BIG DEAL.
• James Madison: “Liberty may be endangered by the
abuses of liberty as well as by the abuses of power”.
– Translation: Our government is TOO WEAK; we must DO
SOMETHING.
• Nevertheless….something needed to be done!
The Annapolis Convention
• Held in 1786 to discuss
economic problems that
the Articles could not
solve.
• Twelve delegates from
five states were present.
• They only came to one
agreement…To meet in
Philadelphia the
following year.
The Miracle at Philadelphia:
Writing a Constitution
Drafting the Constitution
• Philadelphia Convention, May 1787;
– Purpose: to revise AoC
• Delegates: 55 men from 12 states (?),
mostly middle/upper class, educated,
lawyers, landowners
• Maintained total secrecy – why?
– James Madison (Father of Const.) kept a diary
• Factions developed among delegates over
size & strength of central gov’t
Plans for Government
Virginia Plan
• Focus on the people
• Leg: bicameral, can
override state laws,
popular representation
• Exec: elected by
Congress, no set size
• Judiciary: life tenure,
can veto state legis.
• Ratified by citizens
New Jersey Plan
• Focus on states
• Leg: unicameral, equal
vote for each state
• Exec: plural, removable
by state majority vote
• No power over states
• Supremacy of nat’l
laws
• Ratified by states
Convention Compromises:
#1 The Great Compromise (aka CT Comp.)
Equality & Representation of States
– Bicameral Leg: upper house = equal repres.;
lower house = repres. based on population
Convention Compromises:
#2 3/5 Compromise
• 3/5 Compromise: slaves counted as “3/5”
of a person for determining population in
HoR (agreed Congress can’t regulate slave import til 1808)
Compromise #3 Trade
Convention Compromise
#4 Executive Compromise
Critical Issues @ Convention
Individual Rights Issues
• Delegates felt Const’s limited gov’t, by
design, couldn’t threaten personal freedoms
• Const says little, but does include:
– Can’t suspend writ of habeas corpus
– No bills of attainder, no ex post facto laws
– No religious qualifications for office
Madisonian System of Voting
Preventing Majority Tyranny
• Limiting Majority Control: keep most of
gov’t beyond control of masses
• Separation of Powers: division of powers
btwn 3 branches –> independent branches
that must cooperate to govern
Madisonian System
Preventing Majority Tyranny
• Checks & Balances: each branch can check
actions of other two
– Ex: Congress makes law, but Prez can veto
– Critics: too many loopholes in system
• Federalism: est federal system of gov’t –
pwr divided btwn nat’l govt & states
Constitutional Republic was created!
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
• 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.
Anti-Federalists
• Argued individual
rights and state’s
rights weren’t
protected
• Led by Patrick Henry
and Thomas
Jefferson.
• Feared the President
would become King.
• Thought the
government would
come under control
of one particular
group (a faction).
War of Words
Federalists
Anti-Federalists
• The Federalist: 85
• R.H. Lee, G. Mason, J.
essays by Publius
Hancock, P. Henry
(Hamilton, Madison, Jay)
• https://www.youtube.com/
watch?v=0iHwndOn-4A
• Defense of Constitution,
• Give me liberty…
explaining structure and
• Argue Const. is elitist,
philosophy why it was
would lead to
best available structure
“aristocratic tyranny”
• Unhappy about loss of
state power
• LACK OF BoR!
Federalist #10 activity
Read the passage and
answer the questions.
Primary Documents: The Federalist
• Work with your group members to answer
the questions that accompany the Reading
Set.
• After completing those questions, come up
with a group summary of the document’s
main message – IN ONE SENTENCE!
• When you’re done with that Reading Set,
alert me & I’ll give you the next step!
Fed #9 (A):
Fed #10 (A):
Fed #10 (B):
Fed #51 (C):
Federalist Activity Fin.
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 rights @
1st Congress
– VA & NY ratify summer 1788 – Const. in action
Compromise:
1. Bill of Rights
• Federalists
promise to
add
protections
for
individuals
by
amendment
2. Federalism
• State and
national
governments
, each with
their own
powers
• National
government
Supreme
Ratification Compromise
Ratification
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.
• New York chosen as first
capital
• George Washington chosen
as first president
BOR Pamphlet Activity
Make a short and sweet informational pamphlet
on the Bill of Rights.
Instructions:
1. Should be front and back of one page.
2. Include graphics and a short summary for
every amendment.
3. Include a short historical introduction to the
BOR. 4-5 sentences.
Amendment Review for Quiz
• https://www.youtube.com/watch?v=o9GsIfs6
9UY
• No Bull Review
– Mr. Klaff
The U.S. Constitution
Founding Fathers’ Fraternity
https://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
Republican Gov’t
Checks & Balances
Limited Gov’t
Separation of Powers
Federalism
• 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]
Additional Checks on Gov’t Power
• Development of political parties
– effects of divided gov’t
• Expansion of electorate – participants &
methods
• Expansion of federal bureaucracy
• Technological advances
• Growth of Presidential power – international
issues
Time to make amends…. 
FORMAL AMENDMENT PROCESS
STEP 1: _______________
STEP 2: _______________
Proposed by: _____________
_______________________
_______________________
Ratified by: ______________
_______________________
_______________________
OR
Proposed by: _____________
_______________________
_______________________
OR
Ratified by: ______________
_______________________
_______________________
Formal Amendment Process
• Amendment process quite difficult
– Competing interests; supermajorities needed
• Framers didn’t want amendments to be
easy – prevent majority tyranny passing
amendments to violate rights of minority
• Congress can specify “reasonable” time
limit for ratification
– Usually 7 yrs; exception = 27th amendment
• No nat’l convention ever held to propose
amendment – some uneasy w idea
Changing the Constitution
Changed 27 times by the rules
• Step 1: Proposal
– 2/3 of Congress
– 2/3 of Constitutional Convention
• Step 2: Ratification
– 3/4 of state legislatures
– 3/4 of state conventions
How Formal Amending Power has been Used
• BoR = 1st 10 amendments, adopted in 1791
– Limit pwr of NAT’L gov’t relating to rights &
liberties of individuals
**Bill of Rights did not limit state power!
• Other amendments classified in 5 ways:
– Increase/decrease pwr of Nat’l Gov’t
– Limit state government power
– Expand the electorate
– Taking away/adding to power of voter to elect
– Make structural changes
Amendments #1-27
Constitution Quiz coming soon…
Informal Changes: The Constitution’s
Evolution
I. Congressional Elaboration
• Laws define or refine words of Const.
– Necessary & Proper Clause [elastic clause]
– Commerce Clause
– Use of impeachment
Informal Changes:
The Constitution’s Evolution
II. Presidential Actions
• Expanding Pres war-making powers
• Executive orders; executive privilege;
impoundment
• Use of executive agreements
– Pacts w/ foreign head of state – legally
binding, bypass Senate
Informal Changes: The Constitution’s
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?”
Informal Changes: The Constitution’s
Evolution
IV. Changing political practice
• Political Parties not mentioned in Const., but
have changed political process
– Ex: nomination of Prez candidates; organization &
running of Congress
•
•
•
Use of electoral college now more a “rubber
stamp” than deciding factor
Technology – mass media, internet,
electronic communications, nuclear weapons
Increasing demands on policymakers
Constitutional Convention
Activity:
What changes should be
made to it today?
FEDERALISM
Chapter 3
Text Book Worksheet – Chapter 3
• Unitary: all
power in
central gov’t.
• Confederation:
strong state gov’ts,
weak central gov’t.
• Like???
• Federal: distribution of
power btwn central gov’t
and sub-divisional gov’ts
(states)
• Divided by Constitution
• Each level of gov’t has its
own “sphere of influence”
• Each level derives its
authority from Const.
Constitutional Structure of Federalism
• Derived from supremacy clause & 10th
amendment
- supremacy clause: Const., federal
laws, & treaties are superior to
conflicting state & local laws
• Nat’l laws preempt the field
- 10th: states have independent pwrs of
their own
Constitutional Structure of Federalism
• Framework of gov’t powers:
1. Nat’l gov’t has only delegated pwrs
(those given to it)
2. All other pwrs are reserved to state
gov’ts
3. Some pwrs are denied to only states
OR nat’l govt, or denied to both
Powers of National Govt
• Enumerated powers
• Implied powers
- Necessary & proper clause (elastic)
• Inherent powers – ex: foreign affairs
- U.S. v Curtiss-Wright Export Corp
(1936): foreign affairs are nat’l gov’ts
job – primarily President’s domain
Powers of the States
• Reserved powers in 10th amendment
• States have police power over laws
regulating behavior of citizens w/in states
Concurrent Powers
• Powers shared jointly by both state & nat’l
gov’ts – ex: both gov’ts can tax, but not
each another
• States can generally tax same items
Enumerated powers
of National Gov’t
•Regulate trade &
interstate
commerce
•Foreign relations
•Declare war
•Coin $$
•Est nat’l courts
•Create post
offices
Concurrent
Powers
•Impose taxes &
collect fees
•Borrow $$
•Est. courts
•Enact & enforce
laws
•Protect civil
rights
•Protect health &
welfare
Reserved powers
of States
•Est local gov’ts
•Conduct
elections
•Police citizens
•Oversee primary
& elementary ed.
•Take land for
public use
Constitutional Structure of Federalism
• Expansion of central gov’t rests on 4
constitutional pillars:
Civil
War
Implied
powers
Commerce
Clause
Struggle for
Racial
Equality
Expansion of Central Govt Power
Constitutional Structure of Federalism
• Expansion of central gov’t rests on 4
constitutional pillars:
1. Interpretation of implied powers: SCOTUS
broadened use of elastic clause in
McCulloch v. Maryland (1819)
• States can’t tax agency of nat’l govt
***Established implied powers using N&P
clause AND reinforced supremacy clause
• Hundreds of policies justified this way
McCulloch v. Maryland
https://www.youtube.com/watch?v=
XvF-GAdGtKA
Constitutional Structure of Federalism
2. Commerce clause: power to regulate
interstate & foreign commerce
***Gibbons v. Ogden (1824): nat’l interests
prevail over state interests; defined
“interstate commerce”
• Heart of Atlanta Motel Inc. v U.S.(1964):
Congress didn’t overextend by using
commerce clause to fight discrimination
• U.S. v Lopez (1995): limited Congress’
power; law must materially relate to
commerce
Gibbons v. Ogden
https://www.youtube.com/watch?v=
T637rKSgbUo
Constitutional Structure of Federalism
3. Civil War: decided struggle about whether
nat’l govt or states were ultimately
sovereign
4. Struggle for racial equality: conflict btwn
states & nat’l govt over equality issues
ultimately decided in favor of nat’l govt
- Civil rights movement, Brown v. Board of
Education
Vertical Federalism
• Federalism = system of vertical checks &
balances, relationships btwn federal and
state gov’ts
• Examples:
- Amendment process
- Nat’l gov’ts programs managed by states
- Nat’l gov’t uses $ to influence state policy
through grants (using pwr to tax & spend)
Interstate Relations
• Horizontal federalism: dealings that
require states to interact w/ one another
Clauses relating to Horizontal federalism
• Interstate compacts: w/ consent of
Congress
• Full faith & credit clause
Extra credit opportunity!!!!
For 3 points on a test, make a time
line of Gay Marriage involving the
Federal and State Gov’ts.
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/state’s reserved pwrs?
- Violation of equal protection in 5th?
July 2010: overturned in federal court
Feb 2011: Obama – won’t defend in court
March: Boehner – BLAG/HoR will defend in select
cases
JUNE 2013: SCOTUS OVERTURNED 5-4:EP
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
Interpretations of Federalism
• Dual federalism: distinct separation
btwn roles of nat’l & state gov’ts =
layer cake
- Const. gives limited pwrs to nat’l govt,
all others left to states
• Cooperative federalism: nat’l & state
levels share policy responsibilities &
cooperate to solve problems = marble
cake
**Perspective on nature of federalism is
influenced by political point of view**
Interpretations of Federalism
• Through early history, gov’t leaned
toward dual federalism
• Since New Deal era, have seen a shift
toward cooperative federalism
- Ex: education, infrastructure
• Standard operating procedures of
cooperative federalism
- Shared costs
- federal guidelines
- shared administration
Devolution Revolution?
• Through most of 20th century, nat’l gov’t
grew in size and power, esp. when compared
to the states
• In 80s, GOP pressured to reduce size &
scope of nat’l programs and shift
responsibility for policy & programs back to
the states (devolution)
- Recently, a return to using federal gov’t to
achieve policy objectives
Fiscal Federalism
** Major instruments of federal aid and
influence in state programs are
grants-in-aid
Types of Federal Grants
• Categorical grants: subject to
specific federal conditions for use
– Types: project grants, formula grants
• Block grants: less strings attached to $;
states have more discretion in spending
Fiscal Federalism
• Federal grants serve 4 purposes:
1. To supply state & local gov’ts w/ needed
revenue for programs
2. To est. minimum nat’l standards
3. To equalize resources among the states
4. To attack nat’l problems yet minimize
growth of federal agencies
Fiscal Federalism
Politics of Federal Grants
• Republicans: favor less federal
supervision, delegation to state & local
gov’ts (block)
• Democrats: favor detailed, federallysupervised spending (more categorical)
Fiscal Federalism
Federal Mandates
• Federally-imposed programs on state & local
gov’ts – often underfunded or unfunded
• Ex: NCLB 2002: huge burdens on schools,
very little increase in funding
• 2 reasons why states comply:
- federal tax money given to states is under
control of Congress to apportion;
- Civil Rights legislation seen as untouchable
= political liability if not enforced
Advantages of Federalism
• Federalism was compromise btwn strong
central gov’t & strong state gov’ts
- Also most practical choice
• Checks growth of tyranny: diffusion of
power keeps a single group from controlling
gov’t
• Unity w/o uniformity: states differ in how
issues are handled
Advantages of Federalism
• Encourages experimentation: states as
“laboratories for democracy” [Brandeis]
• Experience in state gov’t provides training
for nat’l officials
- Can lead to future opportunities
• Keeps gov’t closer to the ppl: local
decisions made @ local level ; more
opportunities for participation
Disadvantages of Federalism
• Different quality/quantity of public
services in states
• Local interest can counteract & impede
national interests
• Hard to tell which gov’t is doing what – so
many!
Federalism & Scope of Gov’t
• Nat’l power has increased with
industrialization, expansion of rights,
& social services
• Most issues, concerns, & problems
require resources afforded to the
nat’l, not state, governments.
Federalism at it’s worst?
Hurricane Katrina
http://www.hbo.com/documentaries/when-thelevees-broke-a-requiem-in-four-acts/index.html
Case Study: McCulloch v. Maryland
• http://www.streetlaw.org/en/landmark/cases
/mcculloch_v_maryland
• How has federal power expanded over state
power in American history?
States vs. Federal Power
• Mechanisms/Events that preserved state power
– Articles of Confederation
– Guarantee of “Republican Form of Gov’t”
– 10th amendment
– “Full faith and credit” clause of the Constitution
– Jim Crow Era
– Block Grants
• Supreme Court Cases
– Barron v. Baltimore (1833) BOR doesn’t extend to
states
– United States v. Lopez (1995) limiting Congress’ power
to regulate commerce
Mechanisms/events that expanded
FEDERAL power
• Supremacy clause of
the Constitution
• Necessary and Proper
Clause of the
Constitution
• Commerce Clause of
the Constitution
– Heart of Atlanta v. US
• The power of the Fed
Gov’t to tax and spend
• 16th amendment
•
•
•
•
McCulloch v. Maryland (1819)
Gibbons v. Ogden (1824)
Civil Rights Era
1950’s building of a national
highway (Categorical grants)
• Federal deficit
• Federal Mandates (cross
cutting requirements, cross
over sanctions)
Activity:
Politics of Federal Grants
Activity:
Panel Discussions Federalism