Chapter 3

Chapter 3

What is Federalism?Definition: A way of organizing a nation so

that two or more levels of government have formal authority over the land and people.

Intergovernmental Relations-Definition: The workings of the federal

system- the entire set of interactions among national, state and local governments.

Why is Federalism So Important?Decentralizes our politics

More opportunities to participate

Decentralizes our policies Which government should take care of which

problem? States can solve the same problem in different

ways.

A way of organizing a nation so that two or more levels of government have formal authority over the land and people.

This Constitution, and the Laws of the United States which shall be made in pursuance thereof; and all treaties made, or which shall be made, under the authority of the United States, shall be the supreme law of the land; and the judges in every state shall be bound thereby, anything in the constitution or laws of any state to the contrary notwithstanding.

The Division of PowerSupremacy Clause - power clearly delineated

The U.S. ConstitutionLaws of CongressTreaties

State ConstitutionsState Laws

Section 8: Powers of CongressEnumerated powersMain article: Enumerated powersCongress's legislative powers are enumerated in Section Eight:The Congress shall have power To lay and collect Taxes, Duties, Imposts and Excises, to pay the Debts and provide for the common defence[note 1] and general Welfare of the United States; but all Duties, Imposts and Excises shall be uniform throughout the United States; To borrow Money on the credit of the United States;To regulate Commerce with foreign Nations, and among the several States, and with the Indian Tribes;To establish a uniform Rule of Naturalization, and uniform Laws on the subject of Bankruptcies throughout the United States;To coin Money, regulate the Value thereof, and of foreign Coin, and fix the Standard of Weights and Measures;To provide for the Punishment of counterfeiting the Securities and current coin of the United States;To establish Post Offices and post Roads;To promote the Progress of Science and useful Arts, by securing for limited Times to Authors and Inventors the exclusive Right to their respective Writings and Discoveries;To constitute Tribunals inferior to the supreme Court;To define and punish Piracies and Felonies committed on the high Seas, and Offenses against the Law of Nations;To declare War, grant Letters of Marque and Reprisal, and make Rules concerning Captures on Land and Water;To raise and support Armies, but no Appropriation of Money to that Use shall be for a longer Term than two Years;To provide and maintain a Navy;To make Rules for the Government and Regulation of the land and naval Forces;To provide for calling forth the Militia to execute the Laws of the Union, suppress Insurrections and repel Invasions;To provide for organizing, arming, and disciplining, the Militia, and for governing such Part of them as may be employed in the Service of the United States, reserving to the States respectively, the Appointment of the Officers, and the Authority of training the Militia according to the discipline prescribed by Congress;To exercise exclusive Legislation in all Cases whatsoever, over such District (not exceeding ten Miles square) as may, by Cession of particular States, and the Acceptance of Congress, become the Seat of the Government of the United States, and to exercise like Authority over all Places purchased by the Consent of the Legislature of the State in which the Same shall be, for the Erection of Forts, Magazines, Arsenals, dock-Yards, and other needful Buildings;—AndTo make all Laws which shall be necessary and proper for carrying into Execution the foregoing Powers, and all other Powers vested by this Constitution in the Government of the United States, or in any Department or Officer thereof.

Article I Section 8 (US Constitution)

Establishing National Supremacy Implied Powers

McCulloch v. Maryland “necessary and proper” – elastic clause

Commerce Powers Gibbons v Ogden Civil rights movement expanded the powers

The Civil WarThe Struggle for Racial Equality

Expressed powers of the national government are those directly stated in the Constitution of the United States (e.g., levy and collect taxes, make war, regulate trade among the states).

Implied powers of the national government are those not specifically listed in the Constitution of the United States but held by the national government in order to carry out the expressed powers (e.g., establish a national bank). The authority for implied powers comes from the elastic or “necessary and proper” clause (Article I, Section 8, Clause 18).

Inherent powers of the national government are those that it may exercise simply because it is the national government of a sovereign state (e.g., establish diplomatic relations, regulate immigration).

States’ Obligations to Each OtherFull Faith and Credit – recognize documents and

civil judgments of other statesExtradition Privileges and Immunities

creepy

Dual FederalismDefinition: A system of government in which

both the states and the national government remain supreme within their own spheres, each responsible for some policies.

Like a layer cakeEnded in the 1930’s

Cake?

Cooperative FederalismDefinition: A system of government in which

powers and policy assignments are shared between states and the national government.

Shared costsShared administrationStates follow federal guidelines

Defined: the pattern of spending, taxing, and providing grants in the federal system.

The major way the federal government has grown in power is through using money as a manipulator.

Federal aid makes up 21% of state and local governments and 16% of the federal budget.

“He who pays the piper calls the tune”

Grants-in-aid are the main instruments the national government uses for both aiding and influencing states and localities.

Began during the 1930’s.

The real shift towards more federal power began in the 1960’s.

Federal Grants to State and Local Governments (Figure 3.1)

1. Block Grants -broad program grants given more or less automatically to states and communities, which exercise discretion in how the money is spent.

2. Categorical grants- grants that can be used for specific purposes or categories of state and local spending.

3. Categorical Formula Grants- a type of categorical grant where states and local governments do not apply for a grant but are given funds on the basis of a formula.

4. Mandates- when Congress requires a program to be put in place. Often, these mandates are unfunded.

Fiscal Federalism continued:The Grant System: Distributing the Federal

Pie Categorical Grants: Federal grants that can be

used for specific purposes. They have strings attached.Project Grants- based on meritFormula Grants: amount varies based on

formulas Block Grants: Federal grants given more or less

automatically to support broad programs. Grants are given to states & local governments

Fiscal Federalism continued…The Scramble for Federal Dollars

$350 billion in grants every year Universalism- a little something for

everybodyThe Mandate Blues

Mandates are the “strings” attached to federal money

Unfunded mandates are requirements on state & local governments- but no money

5. Cross-Over Sanctions- using federal dollars in one program to influence sate and local policy in another.

6. Cross-Cutting Requirement- a condition on one federal grant is extended to all activities supported by federal funds regardless of their source.

7. Pre-emption- The federal government makes a law that targets and undercuts a state law.

Advantages for Democracy Increasing access

to governmentLocal problems

can be solved locally

Hard for political parties / interest groups to dominate ALL politics

Disadvantages for DemocracyStates have

different levels of service

Local interest can counteract national interests

Too many levels of government- too much money

State Welfare Benefits (Figure 3.3)

Spending on Public Education (Figure 3.4)

Federalism and the Scope of GovernmentWhich level of government is best able to

solve the problem?Which level of government is best able to

fund solutions to the problem?

The Public Sector and the Federal System (Figure 3.5)

1. Gun Free Schools Act of 1990- forbids the possession of firearms in public schools

Issue (s): US v. Lopez said Congress extended Constitutional authority to regulate commerce.

2. Brady Handgun Violence Prevention Act- mandated that the chief law enforcement officers in each local community conduct background checks on gun purchasers.

Printz v. United States and Mack v. US said “the federal government may neither issue directives requiring the states to address particular problems, nor commend the states’ officers, or those of their political subdivision to administer or enforce a federal regulatory program.” i.e. mandate voided.

Issue (s): 3. Federal Mandate to Raise the Drinking Age to 21-

states are now required to raise drinking age to 21 in order to receive federal funds for highways. - Issue (s):

1. Americans With Disabilities Act- required states to make facilities, such as state colleges and universities accessible to individuals with disabilities. No funds to support, though.

• Issue (s)2. Civil Rights Act 1964- bars discrimination in the

use of federal funds because of race, color, national origin, gender, or physical disability. Southern states blocked legislation for a long time and refused to accept court rulings Many schools today lose funding for all programs if discriminates illegally in one program.

• Issue (s)3. Clear Air and Water Act of 1970- national air

quality standards but requires states to administer them and to appropriate funds for their implementation

• Issue (s)

1. NCLB- Largest expansion of federal government’s role in education since LBJ.

1. several states in the process of challenging federal education regulations as education has traditionally been viewed as being run by the state and local governments.

2. Issue (s):

2. Defense of Marriage Act- permits states to disregard gay marriages, even if legal in U.S.

1. Issue (s):

1. 10. Hurricane Katrina- best recent illustration of complex relationship between federal and state governments.

2. September 11, 2001- Congress imposed sizable mandates on the states to increase ability to deal with acts of terrorism, but no resources necessary to increase state and local capabilities.

Other issues: Child labor laws, minimum-wage legislation,

unemployment compensation, antipollution legislation, civil rights protections, income tax, welfare reform, and health care.

1. Encourages experimentalism2. Decentralization of politics. Gives individuals

more opportunities to participate in government, therefore increasing access to government.

3. Decentralization of policies. Two levels increase opportunities for government to respond to demands for policies.

4. If a party loses strength at the national level, it can rebuild and groom leaders at the state and local levels.

5. Diversity of opinions to be reflected in various policies among the states.

6. Reduces decision making and conflict at the national level.

1. Inequality among regions2. Quality of services dependent on the

state in which the service is provided. 3. Diversity in policy discourages states

from providing services that would otherwise be available because poor people may be attracted from states with lower benefits.

4. Local interests impede national majority support of certain policies.

5. So many local governments make it difficult for many Americans to know which government is responsible for various functions.

1. Growth of judicial power