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Govt. 2305 - American National Government

Exam Review #1 – Chapters #1, #2, and #3

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EXAM # 1 REVIEW

Chapter 1 – Perspectives on American Government

Review

I. Introduction to Perspectives on American Government

A. Historical Perspective

1. Historical Example - At least two things are striking from the 2010 midterm election

results. First, the GOP made important and significant gains that should empower the

party in the policymaking process. Second, the electorate abruptly reversed course

from the direction it had steered American politics only two years earlier.

2. Historical Lesson - These outcomes are not historically unprecedented. Since 1914,

there have been numerous election cycles that ended with party shifts far greater than

those of 2010. American voters have never been shy about bringing change to

Washington nor have they been reluctant to shift course quickly.

B. Popular Perspective

1. Public Opinion – Understanding the opinions of American voters provides yet

another perspective from which to examine the 2010 outcomes. A review of public

opinion from 2006 through 2010 congressional elections reveals a consistent and

salient set of findings: consumer confidence hit new all-time lows, most thought the

country was headed in the wrong direction, and voters largely blamed government for

the recession.

Example

The Republican Party achieved a major victory in the 2010 congressional

elections by capturing a majority in the House once again. The GOP also

sliced the Democratic margin of control in the Senate.

The outcome of the 2010 races was in part significant because it signaled a

dramatic shift in voter preferences over a mere two-year period.

When President Obama took office in January 2009, he had the support of

a Democratic-controlled Congress bolstered by successive election cycles

that overwhelmingly favored his party.

Comment: While the results of 2010 have led some to wonder why the electorate

is acting so erratically of late, a view from history shows that such behavior is no

anomaly.



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2. Outcome - Political scientists have long documented the dynamic nature of public

opinion during elections, including the strong inclination of voters to hold the party in

power accountable for a problematic economy. Under the theory of ―retrospective

voting,‖ voters assess their own economic standing and accordingly either blame or

reward the party in power.

C. Global Perspective

1. Globalization - What happens to America in the 21st century affects what happens in

the rest of the world, and vice versa. Understanding how the rest of the world views

what happens in America has implications for America itself. It is important to

understand how other nations reacted to the 2010 midterm elections.

II. Forms and Functions of Government

A. Government

Government means the institutions in any nation that create and enforce the rules. All

societies find some form of government necessary, because the alternative is anarchy

(lawlessness), as described by Thomas Hobbes.

B. Authority and Power

The term authority refers to the willingness of people to obey government out of respect,

while power may be created simply out of fear.

Comments – The text examines major topics and concepts in American government

and politics, and attempts to answer sweeping questions about how they

work.

It draws on the three perspectives mentioned above to provide a deeper

understanding and appreciation of history—it notes that American

government is a product of American history, is influenced greatly by

popular opinion, and is potentially affected by global views as well.

Comment: While examining the 2010 elections from the popular perspective, it is

not so surprising that voters opted in favor of several changes of course.

Comment: Government exists in part to resolve conflict. A ―social contract‖ exists

between community members (who will obey the laws) and the government (which

will protect their rights).



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C. Forms of Government

There are various forms of government:

Democracy - Rule by the people, directly or indirectly.

Oligarchy - Rule by a small number.

Theocracy - Rule where religion plays a dominant role.

Monarchy - Rule by individual hereditary authorities.

Authoritarian - Dictatorship under the strict rule of one person or party.

D. Power and Legitimacy

Governments have power over people—the ability to make them do things they might

not otherwise do. The amount of power may reflect the government’s legitimacy—the

degree to which people believe it has the right and authority to exercise power.

III. American Government and Politics

A. Politics

Politics is the way that government institutions are organized to make laws and

policies, and how those institutions are influenced (Harrold Laswell’s ―who gets

what, when, and how‖).

B. U. S. Government

Government in the U.S. is especially complex, with numerous layers (national, state

and local); political institutions that share power (executive, legislative and judicial);

and methods for citizens to influence decisions.

C. Legitimacy

1. Legitimacy - The strength of U.S. government is grounded in its perceived

legitimacy. Americans often disagree with elected officials, but they generally respect

their authority. This reflects the core of the U.S. Constitution.

Comment - The text will examine all of the above, and will analyze how the

American government is uniquely designed to withstand challenges.

Comment - The text will address Laswell’s questions in the context of

American government.

Comment: Legitimacy may reflect how well the government serves the people, and

how much the people share the government’s goals.



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2. Constitution – The Constitution was framed by leaders focused on theories of the

natural rights given at birth. These intrinsic rights are based on natural law, the

inherent rules more fundamental than any that a government can create (John Locke).

D. Constitution

1. Basic Goals - The preamble to the Constitution best summarizes the broad goals of

American government:

“We the People of the United States, in Order to form a more perfect

Union, establish Justice, insure domestic Tranquility, provide for the

common defense, 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”

2. Popular Sovereignty - The term popular sovereignty refers to a representative

democracy (a republic) in which the people choose the leaders through regular

elections, an indirect democracy as opposed to a direct democracy in which the

people directly make policy.

3. Legitimacy - This enhances the relatively high legitimacy of American government,

and it focuses on serving the people (in ways they agree with) and protecting basic

freedoms. The vast majority of Americans have historically supported these values,

and those leaders who did not have generally been removed from the system in

appropriate, established ways.

Comments:

The Constitution was designed to allow the conflict that occurs in any

society to play out productively, to manage this conflict, and to eventually

produce consensus under fair procedures. Even political ―losers‖

(minorities) are guaranteed rights and freedoms.

As such, the Constitution has acted as a blueprint for long-term effective

government, and has allowed Americans to survive depression, war, and

domestic strife.

This, combined with its flexibility, has undergirded America’s enduring

democracy.

Comment - These intrinsic rights include fundamental respect for life, liberty, and

property, and as well as basic democratic/representative principles. Only such a

government, according to the Declaration of Independence, will be legitimate.



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IV. American Political Culture

The term political culture refers to the widely held values and beliefs regarding government in a

given society. The American political culture was shaped by how it was settled, its relationship

with England, and its evolution since that time. Components of that culture include:

A. Majority Rule

The ―will of the people‖ ought to guide policy. This began early on in colonial

history, and continues in our modern electoral process, as well as in public opinion

polling.

B. Liberty

Along with majority rule, basic rights and freedoms are respected, even for political

minorities. This includes free speech, religion, and basic due process protections for

criminal suspects.

C. Limited Government

―The government that governs least governs best‖ (Jefferson). The belief in limited

government grew partly out of the oppressive experience with Britain during the

Revolution. Freedom of the press, separation of powers, and checks and balances

are all designed to limit the power of government.

D. Diversity

Settled mainly by immigrants who were generally welcomed for most of our history,

the U.S. today is one of the most ethnically diverse nations in the world. At times,

this has produced conflict and challenge, but it has also been a source of strength.

Comment - While the majority does rule, the minority also has rights and liberties

that cannot be taken away.

Comment - The ideal of individual freedom has drawn many to this country, and

while there have been shortfalls (slavery, Japanese internment, etc.), most

Americans view this nation as the world’s ―garden‖ of freedom.

Comment - Along with this philosophy of limited government is a belief that

communities and the private sector should address most problems.

Comment - Many feel that diversity enhances the quality of American culture and

helps guarantee the fairness of government.



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E. Individualism

Americans generally feel individuals are responsible for themselves, their basic

needs, their decisions, and their life situations. This reflects the Puritan work ethic,

which says that hard work produces success.

F. Equality of Economic Opportunity

There is no rigid class system or nobility in America. Instead, Americans have

traditionally respected the idea of people who advance themselves from modest

backgrounds (―Horatio Alger myth‖) such as Franklin, Lincoln, Reagan, and Clinton.

Most Americans see themselves as primarily limited by their own efforts.

V. Is American Democracy on the Decline?

A. The Case for Decline

1. The decline in voter turnout: Turnout ranged from 62 percent to 65 percent in the

1960s to barely 50 percent in some modern presidential elections.

2. The 2000 presidential election crisis: George Bush won the Electoral College

despite having fewer popular votes, and even the electoral vote was disputed and had

to be determined by the courts.

3. The suspension of civil liberties to protect national security: The USA Patriot Act

was passed after the 9/11 attacks, giving government greater surveillance power over

citizens and allowing for detention of ―suspicious‖ persons without due process.

4. The disproportionate influence of money and wealth on politics: Campaigns are

expensive today, with much of the money coming from corporations, other large

groups, and wealthy individuals. This funding may unduly influence those who are

elected.

Comment - These core values are sometimes weighed or interpreted differently by

different people, including conservatives and liberals. However, they are

generally shared by most Americans.

Comment - A historical view can help in examining this question.

Comment - While our government does provide some support for those who suffer

economically, the American political culture promotes individual initiative and

responsibility, primarily relying on free markets and individual effort.



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5. Politics that are more negative and conflicted: Campaigns and political disputes

today are often defined by negative messages and highly partisan or personal attacks,

as shown by the 1998 Clinton impeachment, the 2004 campaign, the constant barrage

of negative political ads throughout the 2006 midterm elections, to the Republican

attacks on Barack Obama.

6. The “red” state/“blue” state divide:

2004 - The 2004 election showed a regional division, with Democrats winning

the Northeast, West Coast, and upper Midwest, but Republicans winning

everywhere else.

2008 - The 2008 presidential election returns showed states that Democratic

candidate Barack Obama won in blue and states that Republican candidate

John McCain won in red. The blue states were clustered in the northeastern

United States, the northern Midwest, and the West Coast, while the large land

block between coasts and throughout the South was predominantly red. Some

feel this is a result of both a partisan and a cultural divide, with the Northeast

and West Coast more liberal, and the Great Plains states and the South more

conservative.

B. The Case Against Decline

1. The decline in voter turnout: Though lower than it was in the late 1950s, voter

turnout has still exceeded 50 percent in most presidential elections (60 percent in

2004 and 58 percent in 2008). It was lower in the 1920s and at similar levels in other

decades. Low turnout may also indicate general contentment.

2. The 2000 presidential election crisis: This was not the first time a presidential

election produced no clear winner in the Electoral College or produced an Electoral

College winner different from the popular vote winner. In the years 1800, 1824,

1876, 1888 similar crises were seen.

3. The suspension of civil liberties to protect national security: This also was not

unprecedented. The Civil War saw greater violations by Lincoln when he curtailed

individuals’ rights and even closed down several newspapers. WWII saw internment

of individuals of Japanese origin and other ―suspected‖ civilians. National security

may sometimes trump individual freedom in times of war.

4. The disproportionate influence of money and wealth on politics: This has been an

issue throughout American history, not just in modern times.

Comment - Some feel the above are signs of a democracy in decline, but this

may be a superficial reading in light of history.



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5. Politics that are more negative and conflicted: This was also nothing new. The

1800 Jefferson/Adams election was very negative (partisan newspaper attacks), as

was the 1804 fatal duel between Hamilton and Burr and the 1868 Johnson

impeachment. The press has often been partisan and sensationalistic.

6. The “red” state/“blue” state divide: Many states are actually fairly balanced, with

neither candidate gaining much more than 50 percent. Even traditional ―red‖ or

―blue‖ states may shift during mid-term elections and other elections. Geographic

region may not always be an indication of political views.

VI. Historical, Popular, and Global Perspectives

A. Historical Perspective

History can help us identify patterns and trends in how the American political system

functions and resolves conflicts.

B. Public Opinion

The American people play a large role in influencing political outcomes and public

policy. The ―will of the people‖ is not just a rhetorical phrase used by politicians.

Rather, it has guided American politics and government since the country's founding.

C. Globalization

Through advanced technologies such as the Internet, satellites, and air travel, life in

the modern world increasingly interconnects people from different nations.

Comment - The text will use a historical perspective to show how the past

might help us understand modern politics.

Comment - The text will employ a popular perspective to help understand

how our system works and how public opinion influences political outcomes.

Comment - The text will use a global perspective to show how other people

around the world perceive American government.



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Chapter 2 – The Founding and the Constitution

Review

I. The Politics of the Amendment Process: Now & Then The Framers of the U.S. Constitution anticipated the need to adapt the document to changing times.

Thus, they made it possible but very difficult to amend it.

II. The Beginnings of a New Nation

During colonial times, thousands of people moved to North America seeking economic

opportunity and religious freedom. This led to the creation of a culture dedicated to social

and civil rights. Political structures during this time roughly paralleled England -- royal

governors were appointed to each colony along with a governor’s council, but a general

assembly that would pass laws and regulations was also elected by qualified voters.

Comment: The efforts to enshrine the ―Christian amendment‖ and the ―flag desecration

amendment‖ in the U.S. Constitution illustrate these difficulties. Both attempts failed

in spite of the significant public support they enjoyed.

Comment: The French and Indian War (1754–1763) between the French and the

British was a turning point in the relationship between the colonies and the crown. The

British were successful, but the victory was costly and they imposed a series of

regulatory measures upon the colonies intended to make them help pay the war debts.



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A. British Actions

Britain imposed taxes and regulations on the colonies, which angered colonists who

opposed taxation without representation. The Sugar Act (1764) was the first law passed

by Parliament to raise money in the colonies for the crown. There would be more.

B. Colonial Responses

1. Stamp Act (1765) - In response to the Stamp Act, the colonies held their first

congress (Stamp Act Congress) and claimed the right not to be taxed without consent.

2. Townsend Act (1767) - Parliament would subsequently repeal the Stamp Act in

1766, but expressly stated that Britain could impose whatever laws it chose on the

colonies. One such law/tax was the Townsend Act which imposed duties on various

items, including tea, imported into the colonies.

3. Boston Tea Party (1773) - The tax on tea would lead to the Boston Tea Party where

colonists disguised as Mohawk Indians boarded ships in Boston Harbor and threw

their cargoes of tea overboard.

4. Intolerable/Coercive Acts (1774) – Parliament countered by passing the

Intolerable/Coercive Acts which closed Boston harbor, revised the Massachusetts

colonial government, and required the colonists to provide food and housing to

British troops.

5. First Continental Congress (1774) - In response, the First Continental Congress was

held in Philadelphia. It denounced British policy, organized a boycott of British

goods, and encouraged the colonial militias to arm themselves.

6. War Begins (1775) - The Revolutionary War began when British forces sought to

confiscate militia weapons stockpiled in Concord, Massachusetts, in 1775. (Fighting

occurred at both Lexington and Concord.)

7. Second Continental Congress (1775) - A Second Continental Congress was then

held and created a Continental Army with George Washington in charge.

C. The Decision for Independence

Many colonists still hoped for reconciliation at this point, but Thomas Paine’s Common

Sense (1776) helped convince most colonists to break away from Britain. A

Congressional committee led by Thomas Jefferson drafted a document to list the

colonists’ grievances and announce their desire for independence, and on July 4, 1776,

the Declaration of Independence was adopted by Congress.

Comment: The document restated Locke’s ideas of social contract, equality, basic

rights, and the right of people to abolish governments that no longer served them. It

is therefore the essential statement of the American Revolution.



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D. The First National Government: The Articles of Confederation

1. Articles of Confederation - The colonies needed a government to direct the war

effort, so the Congress created the Articles of Confederation, adopted in 1777 and

ratified by all thirteen states in 1781. It created a loose “league of friendship”

among the states, but each state remained largely independent and dominant within its

borders.

2. Weak National Government - The lack of centralized power was a problem during

and after the revolution, as was the lack of an executive. After American victory in

the Revolution (1783), these problems were highlighted by the loss of trade with

Britain. Economic issues and trade problems were worsened by the lack of uniform

commerce policy, and in 1786–87, the depression led to armed uprisings (Shays’

Rebellion).

III. The Constitutional Convention

The Constitutional Convention convened in Philadelphia in May 1787. Several major

revolutionary leaders were absent, but most attended. Rhode Island, opposed to any

centralized power, declined to participate.

A. Plans and Compromises

1. Representation - It quickly appeared that a major overhaul of the Articles was

needed. The Virginia Plan (favoring large states) and the New Jersey Plan (favoring

small states) were proposals that included executive and judicial elements in addition

to stronger elected legislatures. However, Virginia wanted representation based on

population, while New Jersey wanted equal representation for each state.

2. Compromise – Connecticut suggested a compromise that was subsequently accepted

which lead to what became known as the Great (Connecticut) Compromise. This

created a bicameral (two-house) legislature with equal representation in the upper

Comment: There was no centralized power and a weak national Congress (one

vote per state) which could not raise troops, regulate commerce, or tax, which left

it dependent upon the individual states to handle these matters.

Comment: Because the weak government was resulting only in chaos, Congress

called for a convention in 1787 to amend the Articles of Confederation.

Comment: The original purpose of the convention was to revise the Articles of

Confederation and remedy the economic and military weakness then plaguing the

nation by strengthening the central government. Tension between larger and smaller

states with regard to representation schemes would become a central issue.



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house (Senate), and population-based representation in the lower house (House of

Representatives), with the lower house originating all tax bills.

3. Strong Executive - The Great Compromise also provided for election of a strong

executive through an electoral college, based on total representation in Congress.

B. The Slavery Issue

1. Slavery - Anti-slavery movements and laws were already developing in the

North, but the South’s economy was still heavily dependent on slavery.

Therefore, while some northerners wanted to abolish slavery in the Constitution,

this proved politically impossible.

2. Three-Fifths Compromise - There was also debate about how to count slaves for

purposes of representation and taxation. In the end, the Three-Fifths Compromise

stated that slaves would count for three-fifths of a free citizen for both purposes, and

slave importation would not be banned for twenty years.

IV. The New Constitution

After four months of compromises and negotiations, the twelve state delegations present

approved the final draft of the Constitution on September 17, 1787. The Constitution was

to become operative once ratified by nine of the thirteen states.

A. Popular Sovereignty

The people would ultimately rule through democratic elections.

B. Separation of Powers

There would be distinct legislative, executive, and judicial branches to prevent any one

branch from becoming too powerful, and to slow down change and prevent radical shifts.

C. Checks and Balances

This separation of powers would help ensure that no single branch becomes too powerful,

and that each branch has some degree of power over the others.

Comment: While many leaders were unhappy with aspects of the Constitution, the

central desire of most of the delegates to craft a new government lead them to

consensus on a set of guiding principles.



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D. Federalism

To further prevent undue concentrations of power, power would be divided between the

state governments and the national governments. States would retain a good deal of

control over their internal affairs.

E. Limited/Enumerated Powers

The various branches would be limited to the powers specified in the Constitution to

ensure that they do not overreach their authority.

F. Flexibility

The Constitution would be a ―living‖ document, one that is vague enough to allow for

flexibility and interpretation in the face of changing circumstances.

V. The Ratification Battle

A. Federalists versus Anti-Federalists

Once the Constitution was submitted to the states, extensive debate took place between

Federalists, who supported it, and Anti-Federalists, who opposed it.

B. The Federalist Papers

1. Federalist - Vigorous debate also took place in print. The Federalist Papers,

published in newspapers as well as in book form, strongly defended the Constitution.

Written by Madison, Hamilton, and Jay under pen names, this series of essays

explained why the Constitution would strengthen government while still avoiding

tyranny.

2. Anti-Federalist - The Anti-Federalists also published articles expressing their

concerns with regard to continued liberty and highlighting the lack of a ―bill of

rights‖ protecting individual freedoms (which already existed in many state

constitutions).

Comment: A number of factors favored the Federalist side, such as, non-unanimous

consent, special ratifying conventions, the rule of secrecy, and winter conventions

(which limited rural participation).

Comment: Eventually, the Constitution was ratified by enough states in 1788,

partly due to promises by the Federalists to add a bill of rights.



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C. A Bill of Rights

1. Bill of Rights - Much debate initially occurred regarding the necessity of a bill of

rights. Some Founders, such as Madison and Hamilton, felt that listing any particular

rights would imperil those not listed. However, many states already had their own

versions of a bill of rights, and other leaders (such as Jefferson) pushed for such a

document to be incorporated into the national Constitution.

2. Proposed Amendments - In 1789, the House of Representatives submitted twelve

amendments to the states. Two amendments were not ratified, but ten of these were

ratified by enough states in 1791 (comprising today’s Bill of Rights), thus becoming

part of the Constitution.

3. Individual Rights - These rights include freedom of religion, speech, press, and

assembly (First Amendment), search and seizure protection (Fourth Amendment) and

the rights of due process and protection from self-incrimination (Fifth Amendment).

VI. Changing the Constitution

A. The Formal Amendment Process

1. Amending the Constitution - The rules for amendments reflected two basic goals—

flexibility and stability. The Framers wanted to protect the Constitution from

temporary passions, but also wanted to make evolution and change possible.

2. Methods - Article V notes two methods of proposal and ratification. Both require a

two-thirds vote at the national (federal) level, and a three-fourths vote at the state

level. This first (and most common) method involves both congressional houses

proposing an amendment by a two-thirds vote, with three-fourths of the state

legislatures ratifying the amendment.

3. National Convention - It is also possible for Congress to call a special national

proposal convention at the request of two-thirds of the state legislatures, or for the

states to ratify amendments with special ratifying conventions.

4. Ratification - Only seventeen new amendments have been ratified since the Bill of

Rights was enacted. An additional sixteen were denied after proposal, including the

Equal Rights Amendment in 1972.

Comment: The National Convention method has never been used. All

amendments so far have been proposed directly by Congress and all but one have

been ratified by state legislatures.



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B. Informal Processes of Change

1. Implied Power - After ratification, the Constitution and Bill of Rights still had to

undergo the more difficult task of interpretation. This meant the courts could affect

the document’s meaning. Chief Justice Marshall (1801–1835) established a precedent

of loose construction, meaning that the Constitution enjoyed broad, open-ended

interpretations.

2. Enumerated Power - Jefferson and Madison favored a strict or “fixed”

construction, meaning that the government should be limited to the express powers

enumerated in the Constitution unless formal amendments are passed.

3. Interpretation - While relatively few amendments have actually been made to the

Constitution, it has still developed to meet changing needs. Congress, the president,

and the courts constantly engage in constitutional interpretation through their

activities, allowing the document to evolve in the face of changing times and popular

preferences.

VII. Now & Then: Making the Connection Two amendments pressed by interest groups nearly a century apart—the ―Christian Amendment‖

and the ―Flag Desecration Amendment‖ made considerable headway in their respective eras.

Comment: The constitutional amendment process is supposed to be arduous. How else

could the nation’s political system ensure that its provisions not be treated like simple

statutes? Instead they are treated like scripture …. the higher law found in a document

that so many deem sacred.

Comment: This debate about interpretation has continued into the twentieth

century, with liberal courts of the 1960s and 1970s applying a loose

constructionist approach, and the more conservative courts of the 1990s applying

more of a strict constructionist approach.

Comment: In McCulloch v. Maryland (1819), the Marshall court ruled that

Congress had the implied power to do anything necessary and proper in carrying

out express duties to regulate commerce (such as creating a national bank). This

reflects the idea of loose construction or a ―living‖ and adaptable Constitution that

will adjust to changing times.

Comment: Examples of this include the increase of presidential power, the

Supreme Court’s claim of the right of judicial review in Marbury v. Madison

(1803), and the Court’s ruling in McCulloch v Maryland that federal powers trump

state powers.



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Chapter 3 – Federalism

Review

I. Dueling Sovereign Powers in the United States: Now & Then

A. Power and Conflict

State or Federal Control? - Several conflicts between individual states and the federal

government are discussed, including slavery, child labor, and right-to-die issues such as

in the case of Terri Schiavo. Efforts by Congress to regulate in-state activity under the

Commerce Clause were first struck down by the courts, but later upheld during the

Depression.

B. Florida Example

Courts Decide - In the Terri Schiavo right-to-die case in Florida in 2005 Congress

attempted to interfere with a matter that until then had been under the strict control of

state authorities. The courts would ultimately reassert state control over the matter, but

when Congress disagrees with a state action, that body will not stand by silently and defer

without a struggle.

II. What Is Federalism?

A. Federalism

Divided Power - A federal system (―federalism‖) is one in which power is divided

between a central authority and political subunits. Both tiers of government are linked,

but they also maintain their own integrity/independence. Each is assigned specific

powers. This division of power is maintained by resorting to courts (and other methods)

to define proper boundaries of authority.

B. Sovereignty

Question of Sovereignty - A major task in federalist systems is determining sovereignty

or the supreme political power of a government to regulate its affairs without outside

interference. In federal systems, both the states (subdivisions) and central government

are technically sovereign, which can cause confusion (especially since such governments

must both achieve unity for national projects and preserve local autonomy).

Comment: The Civil War marked the only time in U.S. history that a state versus

federal conflict has ever erupted into war, but many smaller conflicts have occurred

over the years. All have been eventually resolved, though few have been forgotten.



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C. Comparing Federalism to Other Systems of Government

1. Confederation - Federalism exists on a government spectrum or continuum. At one

end is a system of confederation, a loose association of independent states similar in

structure to the Confederacy, European Union, or United Nations. These tend to be

fairly weak, which can lead to disorder.

2. Unitary System - On the other end is a unitary system, in which all real sovereignty

and power exist in the central governments (such as in Britain and France). These

sometimes lack the ability to respond to specific local needs.

3. Federal System - In the middle of this continuum is a federal system, which gives

states significant power but subordinates them to the national government. More than

twenty countries may be considered federal, but the U.S. brand of federalism (since

the Constitution in 1788) represents a major breakthrough in the evolution of this

government type.

D. Government Powers in a Federal System

1. U.S. Constitution - Under the Constitution, the new national government was formed

to serve the thirteen states. In ratifying the Constitution each state delegated

significant powers to the new central government, while retaining full powers within

its own sphere. (This was a product of necessary political compromise at the time.)

2. Enumerated, Reserved, and Concurrent Power - Powers delegated to Congress

under the Constitution are called enumerated powers. Powers retained by the states

are called reserved powers. Powers shared by both are called concurrent powers.

3. Enumerated and Inherent Power - Specific national or enumerated congressional

powers include economic powers (taxing, borrowing, regulating interstate commerce,

coining money), military powers (declaring war, raising armies/navies, regulating the

militia), and legislative powers (establishing regulations, passing laws). Congress also

has the inherent power to create all laws that are ―necessary and proper‖ to carry out

the enumerated powers.

4. Power Defined - Technically, the Constitution draws clear lines between those

powers given to states and those given to the national government. The national

government is given responsibility for matters of critical and widespread importance

(economic interests, foreign affairs, and military security), while all local or internal

matters (including health, safety, and welfare) are technically reserved to state

governments.

Comment: The Tenth Amendment explicitly says that any specific power not

assigned to the federal government may be exercised by the states unless

constitutionally prohibited.



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5. Original Intent - The Framers thought Congress should legislate only within its

enumerated Article I powers, and should avoid using the ―necessary and proper‖

clause to unduly expand legislative power.

E. The Supremacy Clause

National Supremacy - The supremacy clause of Article VI overlays the system of

divided powers, holding that constitutional and congressional laws shall create ―the

supreme law of the land,‖ overriding conflicting state provisions. Also, state courts

cannot conflict with the Supreme Court in their interpretations of the Constitution. The

doctrine of preemption further holds that federal law in a given area supersedes state

laws.

D. Relations Between the States

1. Full Faith and Credit - A federalist system must also manage relations between

member states. The full faith and credit (FFC) clause (Article IV, Section 1 of the

Constitution) requires that states respect the judicial and the decisions of other states.

Contracts entered into in one state must be enforced in others, and marriages/divorces

in any state must be recognized in all.

2. Privileges and Immunities - The privileges and immunities clause of Article IV also

ensures equal treatment of out-of-state citizens with regard to travel, residence, and

commerce/trade. Article IV also requires respect for other states’ criminal laws, and

extradition of criminal suspects.

3. Disputes Between States - Article III, Section 2 give the Supreme Court the power to

resolve disputes between states.

III. The History of American Federalism

Evolution – Different conceptions of federalism have prevailed at different times,

reflecting changes in the country and in its global role. Technologies and population

changes, as well as individual leaders, have also encouraged the nation to adapt to changing

times.

Comment: However, new interpretations of this clause would soon give the

national government far more discretion and power.

Comment: The issues of gay marriage and civil unions have placed a strain on the

FFC, with thirty states expressly denying recognition of same-sex marriages

performed in other states. This is supported by the federal government’s Defense

of Marriage Act (1996). The Supreme Court may have to resolve the issue.

Comment: There have been roughly five periods of federalism, each reflecting shifts in

the relationship between national and state governments.



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A. State-Centered Federalism, 1789–1819

State Advantage - Unless clearly specified as national powers, decisions were left to the

states. Very limited national power existed. Thomas Jefferson reinforced this when he

took office in 1801.

B. National Supremacy Period, 1819–1837

1. National Supremacy - Chief Justice John Marshall, appointed by Federalists,

oversaw an expansion of national power highlighted by McCulloch v. Maryland

(1819). McCulloch upheld the constitutionality of a national bank, interpreted the

necessary and proper clause very loosely, and thus greatly expanded national power.

It also emphasized the supremacy of the national government over the states.

2. Opposition to National Supremacy - Some leaders opposed this national supremacy

doctrine, including Andrew Jackson, who opposed the national bank. However, even

he denied the right of individual states to nullify national tariffs during the

nullification crisis of 1828.

C. Dual Federalism, 1837–1937

1. Dual Federalism - Marshall’s successor, Roger Taney, returned federalism to the

role envisioned by the Framers, holding the Constitution to be a ―compact of

sovereign states.‖

2. Compact of Sovereign States - The Civil War was at its core a struggle that grew out

of the relationship between the states and the federal government. The Union’s

victory undermined the ―compact of sovereign states‖ idea by rejecting their authority

to leave, and underscored national dominance. However, states retained authority to

regulate internal economic affairs, including child labor.

3. State Authority - In the 1930s, the Court initially continued this trend, striking down

many Depression-era New Deal laws as overly intrusive in state matters.

D. Cooperative Federalism, 1937–1990

1. National Intervention Linked to Interstate Commerce - Franklin D. Roosevelt

responded by threatening to expand the size of the Supreme Court from nine to

fifteen, allowing him to ―pack‖ the Court with supporters. This caused the Court to

moderate its position, allowing greater national intervention.

Comment: Ultimately, it was held that almost any link to interstate commerce

would justify congressional action, and the actions of state and national

government became increasingly intertwined. This power was later used to justify

civil rights laws in 1964.



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2. Layer Cake Federalism - Layer cake federalism refers to a system of distinct and

separate levels of authority delineated to state and federal governments. Marble cake

federalism refers to the intertwining of state and federal authority into an inseparable

mixture.

3. Positive Aspects of Cooperative Federalism - Positive aspects of cooperative

federalism include more money to states as they pursue specific national projects

(grants-in-aid), money to be used at the discretion of states for more generalized goals

(block grants), and wealth redistribution for poorer states.

4. Negative Aspects of Cooperative Federalism - Negative aspects of cooperative

federalism include less state sovereignty and freedom, and the use of federal funds to

coerce state compliance in various matters.

5. Devolution - In the 1980s, Ronald Reagan sought to return more power and control

to the states.

E. The “New Federalism,” 1990–Present

1. States Rights - While not completely successful in returning control to the states,

President Reagan did set the stage for a shift in relations with his judicial

appointments. New Supreme Court justices favored states’ rights and struck down

more coercive and intrusive laws, such as those requiring state officials to act in

certain ways (Printz v. United States).

2. Interstate Commerce Clause - Cases such as United States v. Lopez restricted the

authority of Congress to act under the commerce clause, striking down restrictions

that did not meaningfully implicate commerce. Other cases have scaled back the

preemption doctrine and struck down laws allowing private suits against state

governments.

3. Shifting Power to States (Devolution) - Political developments have also reduced

the national role somewhat. This occurred partly in the Reagan years, but also after

the 1994 Republican takeover of Congress (―Contract with America‖). This shifted

some power to states, though not as much as desired by devolution supporters.

Comment: Congress often has imposed burdens on states that rely on federal

assistance, forcing them to pass laws based on the will of the federal government.

Example: The National Minimum Drinking Age Act (1984) would withhold 5

percent of federal highway funds from any state that did not set the minimum legal

drinking age at twenty-one years.

Comment: Cooperative federalism gives Congress nearly unlimited authority to

exercise its powers and to coerce states into enforcing federal policies.



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IV. Why Federalism? Advantages and Disadvantages

A. Advantages of Federalism

1. Accommodation of diversity: States have different cultures and characters. Various

state laws can reflect those different cultures. Local officials can respond better to

specific local needs.

2. Strengthening of liberty through the division of powers: Federalism avoids undue

concentration of power. Corrupt agreements between different governments are

unlikely to survive long. Federalism is thus an additional ―check‖ on the power of

government, along with the other separations of power. Each level of government can

challenge the other when one of them seeks to restrict freedom (as during the civil

rights era).

3. Encouragement of laboratories of democracy: States can try different social and

economic experiments, which can later be adopted by other states or the national

government (or avoided, if they prove ineffective).

4. Adaptability to changing circumstances: State and local governments tend to be

more nimble and flexible in adapting to change, unlike the larger national

government. Smaller bureaucracies may also be easier to manage.

B. Disadvantages of Federalism.

1. Fiscal disparities among the states: States have different incomes, creating

inequalities among them. The smaller the national role, the greater the inequality.

2. Lack of accountability: Each level of government may expect the other to deal with

certain problems, especially during budget crunches.

3. Undue reliance on courts to define the rules of federalism: Because of inherent

ambiguities, courts must define the roles of the respective governments in federalist

systems. However, most judges are appointed, not elected, which makes this process

less democratic than legislative action.

V. Current Problems in American Federalism

Devolution - The Republicans in the 1980s identified with policies that involved shrinking

national government and transferring responsibility to states.

Comment: The potential source of money for state programs was never made clear. The

funding issue has become a key argument in the federalism debate.



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A. Unfunded Mandates

1. Federal Directives - Unfunded mandates are federal directives requiring states to

perform tasks at their own expense. By placing conditions on federal grants, the

national government can impose many such mandates. These can impose

considerable economic hardship on state budgets. (For example; federal

environmental requirements cost states and local governments $19 billion a year by

1990.)

2. Reform - The Unfunded Mandates Reform Act (1995) was designed to reduce such

mandates, but has had only limited success.

B. The Growing Crisis in Big Cities

1. Impact on Large Cities - Large cities are particularly affected by federalism. Big-

city programs and services are expensive, and suburban flight weakens the local tax

base. Education is especially costly for large cities, for various reasons.

2. Organization of Congress - The structure of American federalism does not

proportionately benefit cities. The Senate disproportionately benefits less-populated

states (which may oppose spending on large cities), while the House has little interest

in spending more on cities than other areas. Grant aid increased during cooperative

federalism, but has declined with the reduction of the national role.

VI. Now & Then: Making the Connection

A. State Advantage

State Identity - The system favors state identities since all states get two votes in the

Senate, which must approve all laws. The 2000 presidential election came down to the

vote count in one state, where state laws figured prominently in the outcome.

B. State Authority

State Laws and Regulations - Each state has its own laws and regulations. States often

push the boundaries of state authority (commuter taxes, foreign boycotts), just as

Congress historically pushes the limits of national authority (child labor, right-to-die

issues).

Comment: Those supporting state authority have resisted this, to avoid being swept

aside. The Founders likely intended such resistance.

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