ch 3 federalism

FederalismChapter 3

Hurricane Katrina

Hurricane Katrina

August 29, 2005 Devastating parts of New Orleans,

Mississippi and Alabama Thousand of citizens were stranded

without electricity, food ,water, health care, communications, or police protection

Hurricane Katrina State and local governments are the first

responders to natural disasters The national government is supposed to

supplement state and local efforts A standoff between hesitant federal

officials and overwhelmed authorities deepened the crisis in New Orleans

Chaos reigned as the fractured division of responsibility meant no one person or agency was in charge

The complications surrounding the gov’t response to Katrina illustrate the importance of understanding American Federalism

The issue was determining the appropriate federal and state powers and responsibilities

More Recently…

Hurricane Sandy

Federalism

The Patient Protection and Affordable Car Act, also called by critics “Obamacare”, was signed into law by president Obama.Faced a year long battle in CongressLead to a lawsuit by states and a

subsequent Supreme Court CaseA prime example of the relationship

between states and the federal government = federalism

Does Federalism

Enhance democracy in the US?

Make the gov’t more responsive to US citizens?

Make gov’t more complicated?

Chapter Outline and Learning Objectives

Defining FederalismLO 3.1: Define federalism and explain its

consequences for American politics and policy.


The Constitutional Basis of FederalismLO 3.2: Outline what the Constitution says

about division of power between national and state governments and states' obligations to each other and trace the increasing importance of the national government.


Intergovernmental Relations TodayLO 3.3: Characterize the shift from dual to

cooperative federalism and the role of fiscal federalism in intergovernmental relations today.

Understanding FederalismLO 3.4: Assess the impact of federalism on

democratic government and the scope of government.

Defining Federalism What is Federalism?

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

Not a common method of governing

11 out of 200 nations have a federal system (Germany, Mexico, Argentina, Canada, Australia, India, US)

Unitary governments: a way of organizing a nation so that all power resides in the central government

Most governments govern with this system

American states have unitary systemsCounties/Townships/Borough – only

have authority granted to them

Confederation: The United Nations is a modern example.

The US began as a confederation – Articles of Confederation

Very rare form of government

Defining Federalism

What if ????

How would politics and policies be different in America if there were a unitary system instead of a federal system?

Or a confederation instead of a federal system?

Does the American form of federalism increase democracy, or does it have a negative effect on democracy?

Defining Federalism Why Is Federalism So Important?

Decentralizes our politics• On Election day there are 51 presidential

elections (50 states + DC)• More opportunities to participate

Decentralizes our policies• Federal and state governments handle

different problems.• States regulate Alcohol distribution, marriage,

education and speed limits.

• “Laboratories of Democracy” - States can solve the same problem in different ways and tend to be policy innovators.

Intergovernmental Relations

The workings of the federal system

The entire set of interactions among national, state and local governments

Analyzing these relations will be the subject of this chapter

The Constitutional Basis of Federalism The Division of Power

National Powers • Enumerated powers-Spelled out • Implied• Inherent

State Powers – Reserved

Concurrent

The Constitutional Basis of Federalism

The Constitutional Basis of Federalism The Division of Power

Supremacy Clause, Article VI of the Constitution states the following are supreme:

• The U.S. Constitution• Laws of Congress• Treaties

Yet, national government cannot usurp state powers.

• Tenth Amendment

The Constitutional Basis of Federalism Establishing National Supremacy

Implied and enumerated powers• McCulloch v. Maryland (1819)• Elastic Clause• Key Principles

• Supremacy of the national gov’t over states• National gov’t has certain implied powers


Commerce Powers• Based on the enumerated power to “regulate

inter-state commerce”• Thought of as “deregulating” states• American courts have spent many years trying to

define commerce • Gibbons v. Ogden (1824) – Strong central

government was the winner

• Today, commerce not only covers movements of goods, but also radio/internet/telephone etc.

The Constitutional Basis of Federalism Key Cases

Wikard v. Filburn, 1942• Commerce clause upheld to regulate

individuals behaviorUnited States v. Lopez, 1995

• Supreme Court rules that commerce that “Federal Gun Free School Zone” not an appropriate use of commerce clause

The Constitutional Basis of Federalism The Civil War (1861-1865)

What McCulloch pronounced Constitutionally, the Civil War did militarily

National government asserted it’s power


The Struggle for Racial Equality

• Brown v. Board of Education (1954)

• The conflict over equality was “settled” in favor of the Nation government

LO 3.2

To Learning ObjectivesCopyright © 2011 Pearson Education, Inc. Publishing as Longman

The Constitutional Basis of Federalism The Power to Tax and Spend

Congress has the Constitutional power to tax and spend

Money plays a key role in the federal government’s relationship with the states. Congress gives money to the states, for example, but stipulates how this money should be used in order to force the states to cooperate with federal policies.

The Constitutional Basis of Federalism States’ Obligations to Each Other

Full Faith and Credit: Each state must recognize official documents and judgments rendered by other states.

• Article ?, Section I of Constitution Privileges and Immunities: Citizens of each

state have privileges of citizens of other states. Exceptions?

• Article ?, Section 2 of Constitution Extradition: States must return a person

charged with a crime in another state to that state for punishment.

Intergovernmental Relations Today Dual Federalism

Definition: 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 cakeNarrowly interpreted powers of federal

governmentEnded in the 1930’s

Intergovernmental Relations Today Cooperative Federalism

Definition: a system of government in which powers and policy assignments are shared between states and the national government

Like a marble cakeShared costs and administrationStates follow federal guidelines

LO 3.3


Intergovernmental Relations Today

Devolution?Devolution – Transferring

responsibility for policies from the federal government to state and local governments.

State and local governments are mostly responsible for handling crime, welfare, and education. (Police Powers)

LO 3.3

To Learning Objectives


Fiscal Federalism Definition: the pattern

of spending, taxing, and providing grants in the federal system; it is the cornerstone of the national government’s relations with state and local governments

LO 3.3



Fiscal Federalism (continued)The Grant System: Distributing the Federal Pie

(600 Billion)• Categorical Grants: federal grants that can be used for specific

purposes; grants with strings attached• Project Grants: based on merit; Money states apply for by

submitting specific project proposals • Formula 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.• Revenue sharing: grant used in the 1970’s and 1980’s preferred by

states because it came with no strings attached

LO 3.3

To Learning Objectives

Intergovernmental Relations Today Fiscal Federalism (continued)

The Scramble for Federal Dollars• $460 billion in grants every year

The Mandate Blues• Mandates direct states or local

governments to comply with federal rules under threat of penalties or as a condition of receipt of a federal grant.

• Unfunded mandates

Understanding Federalism

Advantages for Democracy Increases access

to government Local problems can

be solved locally Hard for political

parties or interest groups to dominate all politics

Disadvantages for Democracy States have

different levels of service

Local interest can counteract national interests

Too many levels of government and too much money

Summary

American federalism is a governmental system in which power is shared between a central government and the 50 state governments.

The United States has moved from dual to cooperative federalism; fiscal federalism.

Federalism leads to both advantages and disadvantages to democracy.

Should Whether You Live Depend on Where You Live?


Federalism and the Scope of GovernmentWhat should the scope of national

government be relative to the states?• National power increased with

industrialization, expansion of individual rights, and social services.

• Most problems require resources afforded to the national, not state governments.