Unit One Constitutional Underpinnings Who Governs To What

Unit One: Constitutional Underpinnings Who Governs? To What Ends?

What is Political Power? n Power: the ability of one person to get another person to do what you want them to! Power is found in all relationships, think about your parents, your boyfriend/girlfriend, your teachers n We will discuss power as it is used to affect who will hold government office and how government will behave n

Who exercises Power? n Those who exercise political power may or may not have the authority to do so Authority: the right to use power n Legitimacy: Political authority conferred by law or by a state or national constitution n

Who Exercises Power? This was the struggle the Colonists had, did England King George III have authority and thus the power to rule? n We will see this struggle in the next chapter when we look at the idea of Federalism n We see this struggle in the Civil War, the New Deal, a possible balanced budget amendment n n We can agree: no exercise of political power by government at any level is legitimate if it is not in some sense democratic!

Democracy The rule of the many.

Democracy: Two Types A. Direct: A government in which all or most citizens participate directly. B. Indirect (representative): A government in which leaders make decisions by winning a competitive struggle for the popular vote. Which one?

Direct Democracy n The Founders had a basic distrust of direct democracy (Ancient Greece and Rome) n Impractical n (Gov n should mediate, not mirror popular views) Fleeting passions of the people (mob mentality) n Fear of people being swayed by demagogues (even highly educated people can be manipulated by demagogic leaders who play on fears and prejudices) ex. Hitler

Direct Democracy n Some people still argue for direct democracy Neighborhoods and cities should govern themselves n In many states a measure of direct democracy exists: voters can decide on referendum issues (policy choices that exist on ballots) n n Idaho: three referendum issues on the ballot regarding education n This is the only way the “will of the people” can truly be ensured

Representative Democracy The Framers of the Constitution decided on a “representative democracy” n Way of minimizing the chances that power would be abused by n Tyrant! n Tyrannical popular majority n Self-serving officers n

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 view: influence of economic elites. 2. C. Wright Mills: influence of power elite: corporate, military, political 3. Max Weber: influence of bureaucracy.

Pluralist view: 1. Political resources are so scattered that o single elite has a monopoly on no hem. 2. There are so many institutions in which ower is exercised that no single elite power ould possibly control all of them. 3. Pluralism therefore argues that many roups compete with each other groups or control over policy. Policy is herefore the outcome of political

Fundamental Democratic Values A. Popular Sovereignty B. Respect For the Individual State serves individual, not vice versa C. Liberty D. Equality of Opportunity

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

Fundamental Democratic Structures (briefly -- covered in more detail later) A. Federalism B. Separation of powers C. Checks and balances D. Constitutionalism

End of Chapter 1 Power Point!

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.

Weaknesses of the Articles of Confederation § § § No power to tax No chief executive No national judiciary No power to regulate interstate or foreign commerce No national currency

The Constitutional Convention Annapolis 1786 n Advertised as a meeting to revise the Articles n Poorly attended n Another meeting in Philadelphia called for in May 1787 n

Shays’s Rebellion January 1787 n Group of ex-Revolutionary War soldiers n n Fed up with high taxes, high debts, fearful of losing property Forcibly prevented the courts in Massachusetts from sitting n Governor: asked Continental Congress to send troops (couldn’t raise $), he didn’t have a state militia to send, had to gather private funds to pay individuals n

Shays’s Rebellion n Results: n Delegates who may not have attended the Philadelphia meeting (New England!) were afraid that state governments were about to collapse

Constitutional Convention Philadelphia 1787 n 55 delegates n Rhode Island refused to send anyone n

Delegates 1. Characteristics: "well-read, well-bred, well-fed, and well-wed” 2. Participants: a. Madison: "Father of Const. " because of leadership and detailed notes of proceedings b. Washington: presiding officer c. Franklin: "elder statesman" d. Hamilton: most forceful advocate for strong central govt. 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) b. Rebuttals: 1. Most people owned property 2. Even the poor, in hopes of someday owning property, wanted to protect property

Areas of agreement 1. Scrap the Articles of Confederation 2. Establish a republican govt. 3. Establish a constitutional govt. 4. Establish a balanced govt. where no single interest dominated 5. Suffrage for property owners only (most people) 6. Stronger central govt. than under the Articles 7. Protection of property rights the main purpose of govt. 8. Keep the proceedings secret

Virginia Plan n n Virginia plan became the working plan for creating a new government Called for a strong national government n n Key features: n Legislative n n Two houses (first elected by people, second by legislators) Both houses would be proportional representation n Chosen by national legislature – Parliamentary Form n § Executive n n Judicial National 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 At least one house of the legislature would be elected directly by the people Both legislative houses would have representation based on state population

New Jersey Plan Small states worried about lack of representation n Wanted to amend the Articles of Confederation n Enhanced the power of the national government (not by much), but left States with one vote each n Offered after the Virginia plan n William Patterson

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

The Great (Connecticut) Compromise A House of Representatives consisting initially of sixty-five members apportioned among the states roughly on the basis of population and elected by the people n A Senate consisting of two senators from each state to be chosen by the state legislatures n

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

3/5 th Compromise n Each state in the House was to have “threefifths of all other persons” to be added to “the whole number of free persons” n n n For both taxation and representation purposes Convention agreed to not allow the prohibition of the importation of slaves until 1808, however, Congress was not required to end it at that time! Constitution guaranteed that if a slave were to escape his or her master and flee to a non

Areas of Disagreement ---> Compromises: Election of the President a. Life term vs. 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 Compromise: Electoral College System

Ratification of the Constitution: 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 and Jay

Ratification Politics 2. Antifederalists a. Supporters: small farmers, frontiersmen, debtors and 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 govt. Favored stronger state govt. 4. Feared the lack of a Bill of Rights, their strongest argument c. Leaders: Henry, Mason, Gerry

Ratification Politics 3. Federalists Advantages a. Were better represented in state leg. 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 Constitution 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

Structure of the U. S. Constitution Preamble = purposes of government n Articles n n n Sections Amendments = formal changes to the Constitution 27 total (1 st 10 = Bill of Rights)

Preamble We the People of the United States, in Order to form a more perfect Union, establish Justice, insure domestic Tranquility, provide for the common defence, promote the general Welfare, and secure the Blessings of Liberty to ourselves and our Posterity, do ordain and establish this Constitution for the United States of America. SCHOOL HOUSE ROCK

End of Chapter 2 and Unit 1

Unit 2: U. S. Constitution The principles and concepts behind the document

Separation of Powers n To Madison, tyranny was govt. that controlled all 3 branches of govt. ---> Division of power among the legislative, executive, and judicial branches n This system diffuses power instead of concentrating power n Influence of Montesquieu n Colonial experiences, e. g. , excessive power in state legislatures need for strong executive n Danger of one branch combining forces with another branch ---> checks and balances

Checks and Balances Background * 18 th 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

Checks and Balances n n n System of restraints in which each branch can check the other two. Reflects fear of tyranny Examples: veto, veto override, appointment and confirmation, treatymaking and ratification, defense funding and Commander-In-Chief See book page 29

Checks and Balances n n 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 increase presidential influence) 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.

Checks and Balances n Modifications of checks and balances: examine if the following strengthen or weaken checks and balances 1. Political Parties 2. Changes in Voting Methods 3. Growth of Federal Bureaucracy 4. Changes in Technology 5. Emergence of U. S. as World Power after WWII *Group Activity

1. Political Parties a. In theory, should weaken checks and balances – a way of bringing the branches of govt. together. Constitution 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 government, i. e. , a President of one party and a Congress of the other

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

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. v Thus, growth of bureaucracy has caused a weakening of 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 and Obama receiving donations of several million dollars in less than 12 hours through Facebook and twitter ---> weakening of checks and balances

5. Emergence of U. S. as World Power Post 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

Judicial review Marbury v. Madison

Judicial Review 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.

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

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.

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). 3. Presidential actions (e. g. , police actions since WWII, ). 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.

To Propose an Amendment Formally 1. 2/3 of both houses of Congress vote to propose an amendment (all done this way) No presidential veto possible Or….

To Propose an Amendment Formally 2. 2/3 of the state legislatures ask Congress to call a national convention to propose amendments states -->serious implications and fears of such a gathering: 1) Never used before 2) Fear of "runaway" convention that might get out of hand 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?

Ratify an Amendment Ratification: 2 methods - Congress decides which shall be used 1. ¾ of the state legislatures approve it n All but one (21 st) done this way (repealing Prohibition) Why? 2. Ratifying conventions in 3/4 of states. n 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. n Time limits for ratification: generally 7 years

Ratify an Amendment n n n Thousands of proposals have been made, but only 33 have obtained the necessary 2/3 vote in Congress 27 amendments have been ratified The first 10 are the Bill of Rights

End of the Constitution

Federalism What is Federalism? n Political system in which the national government shares power with local governments n Problem: sharing authority! n Current examples… n

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 104 th and 105 th Republican Congress: “Devolution Revolution” 3. Example: use of block grants in welfare reform bill of 1996.

Federalist # 51

Federalism #2

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

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. Four states (MA, VT, IA, CT) have legalized same-sex marriages. 2. However, in the 1990 s 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

Federalism #3

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. 10 th 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 20 th 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: Mc. Culloch 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

V. Recent Developments. A. Evolution towards greater federal control throughout most of 20 th 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 #4

FEDERALISM AND FEDERAL GRANTS n 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/104 th and 105 th 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 n n n n 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

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

Federalism #5

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 104 th Congress.

List of unfunded mandates n Articles n

Federalist #6

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 late 70 s 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

Effects n 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. ”