Title: Unit II The Constitution and Federalism
1Unit II The Constitution and Federalism
2Chpt. 2 The Constitution
- Key Terms to Know
- Amendment process
- Antifederalists
- Bicameral
- Bill of Rights
- Checks and Balances
- Constitution
- Factions
- Federalism
- Federalist papers
- Federalists
- Great Compromise
- Judicial review
- Marbury v. Madison
- Natural rights
- New Jersey Plan
- Ratification
- Republic
- Separation of powers
- Shays Rebellion
- Virginia Plan
- Unalienable
- Unicameral
3Essential Questions to Answer
- Why was there a Constitutional Convention?
- What were the challenges of the convention?
- What are the key principles of the Constitution?
- What were the motives of the framers?
- What are some modern views on constitutional
reform?
4Remember
- Politics how individuals or groups manipulate
the systems and structures of government to
achieve a desired outcome. - Pluralism - groups compete with one another for
control over policy w/ no one group dominating - Hyper-Pluralism - pluralism gone crazy
- Elite Theory - an upper class rules, regardless
of how government is organized. - Different versions of the Elites
- Marxists
- The Power Elite (C Wright Mills)
- Bureaucrats (Weber)
5The Constitution
- The Constitution is a document motivated by FEAR
- fear of a strong central government that would
obliterate the rights of individuals!!!
6Locke and Rousseau What were their political
philosophies?
7Articles of Confederation v. The Constitution
8Strengths of the Articles of Confederation
- Congress could establish and control the armed
forces, declare war, and make peace. - Congress could enter into treaties and alliances.
- Congress could regulate coinage (but not paper
money). - Congress could borrow money from the people.
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10Weaknesses of the Articles of the Confederation
11Weaknesses of the Articles of the Confederation,
(cont.)
12Weaknesses of the Articles of the Confederation,
(cont.)
13The Weaknesses?
- Congress could not tax or regulate interstate
commerce - No powerful executive
- No federal judicial system
- Unanimous to amend articles
14Path to The Constitutional Convention
- Shays Rebellion
- Virginia Plan
- New Jersey Plan
- The Great Compromise
15Shays Rebellion
- Massachusetts small farmers in debt
- many farmers in prison
- Daniel Shays leads rebellion in 1786
- rebellion suppressed, but demonstrated that the
Articles of Confederation government was unable
to maintain order
16Virginia v. New Jersey
- Virginia
- A national (bicameral)legislature would have
supreme powers on all matters on which the
separate states were not competent to act, as
well as the power to veto any and all state laws - At least one house of the legislature would be
elected directly by the people
- New Jersey
- States representation in Congress unchanged from
the Articles of Confederation each state would
have one vote. - Members of the lower house elected by the state
legislatures rather than the people, with each
state getting the same number of seats rather
than seats proportional to its population.
17The Great 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. - A Senate consisting of two senators from each
state to be chosen by the state legislatures.
18Primary Issues Debated at Convention
- Representation (lasted _at_ 6 weeks)
- Slavery
- Voting
- Economic Issues(Trade)
- Individual Rights
- Mr./Coach Laird - go over these!
19Left Unsaid
- Future of slavery?
- Full scope of national powers?
- No specific plan or role of the Supreme Court
- No specific plan for the role of presidential
advisors
20Madison the Architect
- Readings Federalist Papers 10 (pages A21 A25)
and 51 (pages A26 A29) - Be sure you can answer these questions
- Motivations of these Founding Fathers?
- Factions?
- Who were the Antifederalists?
21Ratification of the Constitution
- Federalists
- -Those who favored a strong central government
and the new constitution. - Anti-Federalists
- -Those who opposed the adoption of the
Constitution because of the documents centralist
tendencies and because it also did not include a
bill of rights. - Go to http//wepin.com/articles/afp/index.htm
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23Madison the Architect
- Separation of Powers
- Checks and Balances
- Limits on the Majority
- Federalism
- Supremacy Clause
24The Constitution pages A4 A20
- Preamble
- What principles are established in the Preamble?
- Articles
- Articles I, II, III, IV, V, VI
- Amendments
- Bill of Rights why?
- 11-27
- What are some of the Modern Views on
Constitutional Reform? (pages 44 48)
25Motives of the Framers?
- Economic Interests
- (Review notes on board)
26The Constitutions Major Principles of Government
- Limited Government and Popular Sovereignty
- Federalism
- The central government shares sovereign powers
with several state governments. - Checks and Balances
- Madisonian Model- Separation of Powers
27Cont.
- Founders did not intend to create a direct
democracy - Two kinds of majorities
- 1. Voters House of Reps
- 2. States Senate
- Popular rule only one segment of the government
State Legislators to elect Senators and Electors
to choose president
28Legislative Powers
- Article 1, section 8
- Elastic Clause (National Bank to the Brady Bill)
29Executive Powers
- Qualifications of Office
- Head of state
- Head of political party
- Commander in chief
- Pardons, communications, reprieves
- Make treaties
- Make appointments
- Sign or veto
- State of the Union
- Special sessions of Congress
- Inherent powers
30Judicial Powers
31Figure 2.1 Separation of Powers
Separation of powers, as envisioned by the
Founders, means not only that government
functions are to be performed by different
branches but also that officials of these
branches are to be chosen by different people,
for different terms, and to represent different
constituencies.
32The Constitutions MajorPrinciples of Government
(cont.)
- The Bill of Rights
- Compromise with the anti-federalists to secure
the ratification of the Constitution. - Protection of individual liberties against
violations by the national government.
33Why there was an absence of a Bill of Rights
- Several guarantees in Constitution already
(habeas corpus, no bill of attainder, no ex post
facto law, trial by jury, no religious tests,
etc.) - 2. Most states had bills of rights
- 3. Intent to writing the Constitution was to
limit federal govt. to specific powers
34Need for a Bill of Rights
- Ratification impossible without one
- Promise by key leaders to obtain one
- Bitter ratification, narrowly successful
-
35How the government works
36Changing the Constitution
- The formal process Article V
- The informal process judicial interpretation,
Marbury v. Madison, 1803. - What happened in this case and what was the
resulting judicial power?
37Amending the Constitution
- Methods of Proposing an Amendment
- Most common is a 2/3 vote in each chamber of
Congress. - Methods of Ratifying an Amendment
- Three-fourths of the state legislatures vote in
favor. - Go to http//www.law.cornell.edu/constitution/co
nstitution.overview.html
38Amendments
39Not counting the first ten and prohibition, the
document has been amended 15 times. There are 5
categories
- Additional power to the federal government (16th)
- Limiting powers of the states (14th)
- Expanding right to vote (15th, 19th, 26th)
- Changing the power of the voter to elect public
officials (17th, 22nd) - Changing the structure of government (?)
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41The Constitution and Today
- Modern principles
- Popular sovereignty
- Federalism
- Separation of powers
- Checks and balances
- Judicial review
- Limited government
- Longevity due to
- Separation of powers
- Checks and balances
- Elastic clause
- Powers reserved to states
- Guaranteed rights
- Traditions of unwritten constitution (next slide)
- Judicial review
- Amendment process
- Inherent powers of the president
42Constitutional Reform - Modern Views
- Reducing SOP to enhance national leadership
- Gridlock
- Interference from legislators and special
interest - Stronger president
- More proactive and decisive government
- Making the System less democratic
- Govt. does too much, not too little
- Attention on individual wants over general
preferences - Cut back on govt. activism
43Traditions of Unwritten Constitution
- Certain factors in American political life have
made the Constitution more flexible than the
Founders envisioned - Political parties
- Presidents Cabinet
- PACs
- Federal Bureaucracies
- Elastic Clause
- Presidential Interpretation (executive Privilege)
- Judicial Review
44The Politics of Homeland Security
- Tampering with the System of Checks and Balances
45Yeah!! ON YOUR OWN ASSIGNMENT
- School House Rocks!!
- Briefly describe Amendments 11 27.
- After viewing the fun and exciting segments of
School House Rocks, create a song or ditty
depicting one of the Amendments not part of the
Bill of Rights.
46Review Key Terms Based on YOUR reading of the
chapter are there any terms that are not clear to
you? Speak now, or forever hold your peace!
- Amendment process
- Antifederalists
- Bicameral
- Bill of Rights
- Checks and Balances
- Constitution
- Factions
- Federalism
- Federalist papers
- Federalists
- Great Compromise
- Judicial review
- Marbury v. Madison
- Natural rights
- New Jersey Plan
- Ratification
- Republic
- Separation of powers
- Shays Rebellion
- Virginia Plan
- Unalienable
- Unicameral
47Essential Questions we should have answered by
now
- Why was there a Constitutional Convention?
- What were the challenges of the convention?
- What are the key principles of the Constitution?
- What were the motives of the framers?
- What are some modern views on constitutional
reform? - Lets tackle these
- What view of human nature is embodied in the
Constitution? - Is representative democracy possible without
political compromise? - Has the system of separate institutions sharing
powers protected liberty and promoted equality as
the Framers envisioned it would?
48Chpt. 3 FederalismDisclaimer this chapter may
be troubling for some of you. We will work
together on the material and implement examples
in modern times to help you grasp the material.
DO NOT PANIC!
- Key Terms to Know
- Block Grants
- Categorical Grants
- Conditions of Aid
- Cooperative federalism
- Devolution
- Dual federalism
- Entitlement Spending
- Federalism
- Federal system
- Gibbons v. Ogden
- Grants in Aid
- Initiative
- Mandates
- McCulloch v. Maryland
- Nullification
- Referendum
- Revenue sharing
- Unfunded mandates
- Unitary system
49Essential Questions to Answer
- What is the governmental structure (Federalism)?
Do you think it is good or bad? - What is the debate on the meaning of Federalism?
- What are examples of Federal-State relations?
- What is Federal Aid and Federal Control?
- What is a Devolution Revolution?
50Court Cases to Cover
- McCulloch v. Maryland (Alburl, Chang) (Rogers,
Piel) - Gibbons v. Ogden (Bailey, Frot.) (Roos, Pledger)
- US v. Darby Lumber (Bartlett, Jeter) (Seagraves,
Puga) - Heart of Atlanta Motel v. US (Brummel, Karr)
(Smathers, Reed) - US v. Lopez (Burch, Krae) (Sturm, Rose)
- Garcia v. San Antonio Metro (Cole, A, Le)
(Tumpson) - Fletcher v. Peck (Cole, S, McGee) (Wilson,
Topuzova) - Wisconsin v. Yoder (Daugette, Mode) (Wishon)
- Gitlow v. NY (Joshi, Nixon) (Tran)
- US v. Morrison (Perry, Noonan) (White)
- Brown v. Board(Poole, Peterson) (LAIRD)
- Raich v. Gonzales (Pugh, Pettit) (Moore,
Williams) 2004(2005)
51Sharing Power
- Federalism is a political system in which power
is shared between local units of
government-states-and a national government.
Only a handful of the worlds governments are
federal. (U.S., Canada, Australia, India,
Germany, and Switzerland are examples.) Most are
unitary systems, in which the national government
has final authority over all government
activities.
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53Devolution (Contract w/ America) Returning more
power to the state governments. A
counter-reaction to the imposition of the federal
government during the civil rights movements of
the 1960s.
54The Checkerboard of Governments
- The Census Bureau has counted
- 87,900 governments
- 3,034 counties
- 19,431 municipalities
- 16,506 townships
- 13,522 school districts
- 35,356 special districts
- 50 state governments and 1 national government
55Types of Governments in the U.S.
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57Prior to 1930
- States were equal to the feds in their sphere of
influence. - Example Interstate v. Intrastate Commerce
- 10th Amendment
- Nullification
- The Constitution is a contract mutually entered
into by the states and the feds. If the feds
void this agreement, the state has the right to
nullify a law, or eventually, the whole contract.
- John C. Calhoun of SC Nullification Crisis over
tariffs. - Civil War settled issues of states rights
- 13th, 14th, 15th.
- 14th Amendment Starts off no state.
- Two clauses Due Process and Equal Protection
58Marble Cake Federalism
- Areas of federal government started to spread
into the states rights - New Deal
- AAA, NRA, FDIC
- Fed govt took action into solving problems
- Supreme Court initially struck down these laws as
a violation of states rights. - Court Packing Plan, Eventually, FDR got to
appoint new justices - WWII
- Rationing
- Feds met needs of returning soldiers GI Bill and
Housing help
59Creative Federalism
- Great Society of LBJ
- War on Poverty
- Medicare
- Medicaid
- Civil Rights Legislation
- Shared costs between states and feds of running
programs - Shared administration of programs
- In order for states to get full financial
benefits, had to follow federal rules
60Competitive Federalism
- Richard Nixon/Ronald Reagan wanted to
de-centralize the programs of LBJ - Give states pieces of the marble cake but with
strict conditions and promise to develop their
own programs. - Ex. Crossover Requirements
- For a state to receive money, it must agree to
federal rules - 1974 If states wanted to receive money to
maintain federal highways, had to lower speed
limit to 55. - Clean Air Act of 1970
- Meet air standards to receive federal road money.
- In 1980s, the scope of federal programs was
reduced, but feds responded with on strings
attached when needs arose (FEMA) - Hurricane Andrew (1992)
- LA Earthquake (1994)
- Floods of 1993
61Fiscal Federalism
- (Grants-in-aid)
- Federal funds given to states
- Most federalism it tied to money Whomever has
the money, has the power. - Purpose of these grants is to enable the states
to run many programs at the local level and
enable the feds to stay focused on major goals. - Three major program areas Categorical grants,
block grants, revenue sharing - Two Types of Federal Control on States Spending
of money - Conditions of Aid
- Mandates
62Cooperative Dual Federalism
- Cooperative Done in cooperation with others
- Federalism A system of government in which power
is divided between a central authority and
constituent political units. - Dual Federalism though the national government
is supreme in its sphere, the states are equally
supreme in theirs, and these two spheres of
action should and could be kept separate.
Example Interstate Commerce v. Intrastate
Commerce - McCulloch v. Maryland
63How do Cookies Add Up?
64The Constitutional Division of Powers
- The Powers of the National Government
- Powers Delegated
- Expressed powers- powers that are clearly
provided for in the Constitution or congressional
laws. - Implied powers- necessary and proper clause
- Inherent powers- emergency powers
- Powers Prohibited
- Examples imposing taxes on exports, establishing
a national public school system, and restricting
freedoms.
65The Powers of the States- TENTH AMENDMENT
- Police Powers
- Examples Regulate commerce within their borders,
maintain a state militia, and establish public
schools. - Powers Prohibited
- Examples Power to tax products that are
transported across state lines, entering into
treaties with other countries. - Concurrent Powers
- Exercised by both state governments and the
federal government. Example power to tax.
66Powers granted by the Constitution
67Powers denied by the Constitution
68Federalism
- In the U.S., federalism has endured mainly
because of the American commitment to local
self-government and because Congress consists of
people who are elected by and responsible to
local constituencies. Even though the national
government has taken on vast powers, it often
exercises those powers through state governments.
The national government often finds itself
seeking state compliance through regulations,
grants, and other forms of pressure.
69Federalism
- Among Americans, federalism has its advocates and
its opponents. Advocates argue that the federal
system has created a unique and beneficial
separation of power between national and state
governments. It allows for political flexibility
and assures individual rights. (ending of
segregation) - Opponents often see federalism as a tool for
state governments to block important national
actions. (allowed slavery, segregation, racism)
70Federalism
- One chief advantage of federalism facilitates
political participation and activity! - Federalism Back Then
- McCulloch v. Maryland 1819 (necessary and
proper clause) - Gibbons v. Ogden 1824
71The Struggle for Supremacy
- McCulloch v. Maryland (1819)
- The US Supreme Court established the doctrine of
implied powers and the supremacy clause. - Gibbons v. Ogden (1824)
- The Court defined commerce as including all
business dealings. The power to regulate
interstate commerce was an exclusive national
power with no limitations. - The Civil War
- Secession- the formal withdrawal of southern
states.
72Federalism
- Recent and Other Cases
- United States v. Lopez 1995
- Raich v. Gonzales 2004(2005)
- Brown v. Board of Education 1954
- Heart of Atlanta Hotel v. U.S. 1964
- Barron v. Baltimore 1833
- Gitlow v. New York 1925
- Wisconsin v. Yoder 1992
73The Evolution of Federalism
- Dual Federalism
- Both the national and state governments have
separate and distinct functions and powers. - Cooperative Federalism
- Both levels of governments ought to cooperate in
solving problems facing the entire United States. - Picket-Fence Federalism
- Specific policies and programs are administered
by all levels of government-national, state, and
local.
74 The New Federalism
- Plan to limit the national governments role in
regulating state governments. - Devolution The transfer of power from the
national government to the state and local
governments. - Example President Richard Nixons revenue
sharing program (we will get to revenue sharing
soon).
75Regulated Federalism
- Federal Mandates
- Requirements in federal legislation that compel
states and local governments to comply with
specific rules and regulations. - Examples Clean Air Act and Clean Water Act of
1990. - Unfunded federal mandates.
- Preemption
- Federal authorities take over state or local
level authority. - Go to http//www.brook.edu
76Competitive Federalism
- What is competitive federalism?
- State and local governments compete for business
and citizens. - Advantage- Americans have many variables to
consider when they choose which state to live in.
- Disadvantage-a state that offers more social
services or lower taxes may suddenly experience
an increase in population.
77From Dual Federalism toCooperative Federalism
- Industrialization and Urbanization
- The Great Depression
- The New Deal
78Number of Federal Laws
79The Politics of Homeland Security
- How Much Federal Control over the First
Responders?
80Federalism and State Monies
- Categorical Grants are grants for specific
purposes defined by federal law. - Block Grants started in the 1960s, are grants
with few strings attached in order to support
broad programs in areas such as community
development and social needs. 3 types
operational (state child-care programs), capital
(wastewater treatment plants), entitlement
spending(income to families ex Social Security) - Revenue Sharing is federal aid with no
requirement as to matching funds and freedom to
spend the money on almost any governmental
purpose. It occurs when there is a budget
surplus.
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83Examples of State Monies
- Categorical (may require matching funds and very
strict on how spent) Head Start U.S. educational
program for disadvantaged preschool children
building an airport, building a dorm - Block (may require matching funds and more
lenient on how spent) Entitlement Communities,
Disaster Recovery, law enforcement, unemployment - Revenue Sharing No requirement for matching
funds and freedom to spend the money on almost
any governmental purpose
84Which is Which?
85National Mandates and the Rise of Coercive
Federalism
- KennedyCategorical Grants
- LBJCreative Federalism
- NixonRevenue Sharing
86New Federalism
- Nixon
- block grants
- revenue sharing
- Reagan
- ended revenue sharing
- decrease federal regulations
87New New Federalism
- Clinton
- states as policy laboratories
- Gingrich
- devolution
- George W. Bush
- decrease federal regulations
- increased state control of welfare
- decreased state control of education
88What does the Federal Government Give the States
Money to Do?
- Ninety-two percent of the 376.4 billion of
federal government is sending back to the states
in 2003 is for programs in these areas. - Source Budget of the United States, Fiscal Year
2003, Analytical Perspectives (Washington DC US
Government Printing Office, 2002
89Mandates
- Mandates are federal controls on state government
activities outside the context of grants.
Sometimes the federal government tells a state
government what its activities and policies must
be in order to receive grant money. These
stipulations are called conditions of aid.
Conditions of aid can be attached to
grants-in-aid. Grants-in-aid are categorical and
block grants. Unfunded Mandates are laws passed
by Congress that create expenses for the states
but provide no funds to meet the expenses.
90Mandates
- !!most mandates concern civil rights and
environmental protection!! - !!conditions of aid and mandates are the primary
ways that the federal government pressures state
governments!! - !!states must comply with federal mandates and on
the surface most mandates appear to be quite
reasonable. Yet, some mandates are written in
vague language that creates administrative and
financial problems!!
91Mandate Examples
92Mandate Examples
93Mandate Examples
94Mandate Examples
95Mandate Examples
96Devolution Revolution Case Study
- With the election of Republican majorities in the
House and Senate since 1994, a renewed effort was
led by Congress to shift important functions back
to the states. - Welfare Aid to Families with Dependent Children
(AFDC), is a program for unmarried women to
receive aid for their dependent children. The
AFDC was initiated earlier in the 20th century,
but in the 1980s and 1990s abuses in the system
began to strain the federal coffers set aside for
the program. Simply put the number of women
using it and the proportion of births out of
wedlock rose dramatically. President Clinton
vetoed the first two bills to cut it back, but
signed the third. It ended any federal guarantee
of support and, subject to certain rules, turned
the management over to the states, aided by
federal block grants. The rules said that every
aided woman should begin working within two years
and no woman could receive benefits for more than
five years. - Block grants for Entitlements the transferring
of income to families and individuals
97Whew! We Got Through Federalism. Any Questions?
- Review Key Terms Based on YOUR reading of the
chapter are there any terms that are not clear to
you? Speak now, or forever hold your peace! - Block Grants
- Categorical Grants
- Conditions of Aid
- Cooperative federalism
- Devolution
- Dual federalism
- Federalism
- Federal system
- Gibbons v. Ogden
- Grants in Aid
- Initiative
- Mandates
- McCulloch v. Maryland
- Nullification
- Referendum
- Revenue sharing
- Unfounded mandates
- Unitary system
98Essential Questions we should have answered by
now
- What is the governmental structure (Federalism)?
Do you think it is good or bad? - What is the debate on the meaning of Federalism?
- What are examples of Federal-State relations?
- What is Federal Aid and Federal Control?
- What is a Devolution Revolution?
- Lets Tackle These
- Where is sovereignty located in the American
political system? - How is power divided between the national
government and the states under the Constitution? - How has Americas federal system changed since
the first days of the Republic? - Chart the Advantages and Disadvantages of
Federalism. Use Modern examples.
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100Key Concepts to Remember
- The Constitution was written as a result of a
combination of historical, social, and political
circumstances and events. Among these are
Americas heritage as a British colony, as well
as the lengthy evolution of representative
government in Great Britain. The Constitution
also mirrors the problems the young nation faced
after the Revolution, the conflicts waged and the
compromises offered at the Constitutional
Convention of 1787, and the struggle over
ratification.
101Key Concepts to Remember
- 2. The Constitution embodies five basic
principles popular sovereignty and
representative government, tempered by indirect
election limited government separation of
powers and checks and balances federalism and
judicial review. - 3. The unusually long life and durability of the
Constitution owes much to its concise yet
flexible text, which has allowed Congress, the
president, and the courts to interpret the
Constitution in ways appropriate for changing
conditions. Because the Constitution has proven
so adaptable, it has not been necessary to change
it frequently through formal amendment. It is
however, an imperfect document.
102Key Concepts to Remember
- 4. The drafters of the Constitution sought to
create a government capable of governing,
promoting economic development, and maintaining
liberty (individual rights). The Federalist
Papers reflects this philosophy and were written
to convince opponents of ratification. Since
ratification, a movement towards greater
political and social equality has resulted in a
series of amendments that has advanced the cause
of equality while leaving the fundamental
structure unaltered.
103Key Concepts to Remember
- 5. The Constitution is not neutral in its
impact. By dividing government power among three
branches and between the states and the national
government, it has made quick, decisive, and
comprehensive policy making difficult. But at
the same time, divided governmental power has
provided citizens with multiple points of access
to decisions makers encouraged policy making
through negotiation, bargaining, and compromise
and proven resistant to authoritarian rule.
104Key Concepts to Remember
- 6. Federalism is a constitutional division of
the powers of government between the national
government and the state governments, with each
exercising significant powers. It was the price
of union- a necessary means for creating one
nation out of thirteen highly independent states.
105Key Concepts to Remember
- 7. Until the 1930s, American federalism was
characterized by the national and state
governments operating in largely separate and
distinct spheres of authority. But with the
advent of the New Deal in the 1930s and
subsequent extensions of the federal governments
role, federal-state relations have been
characterized by cooperative federalism, in which
responsibilities are shared among the federal,
state, and local governments.
106Key Concepts to Remember
- 8. An essential element of cooperative
federalism is the grant-in-aid system, which
transfers funds from the federal government to
the states and localities for the purpose of
carrying out federal policies. Federal grants
have enabled state and local governments to
expand their services but have also made them
heavily dependent on the federal government for
funds.
107Key Concepts to Remember
- 9. Because of the expanded role of the federal
government since the 1930s, the federal system
today is clearly more centralized than what the
Framers envisioned. Which level of government
should perform which functions and how those
functions should be paid are continuing sources
of conflict and politics.