Federalism - Garden City Public Schools / Homepage · 2015. 11. 23. · Federalism •Limit...

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3 Federalism

Rich Pedroncelli/AP Images


Defining Federalism 3.1


Table 3.1 Authority relations in three systems of government

3.1


3.1 Which organizing system does the government in the United States use?

a. Confederate

b. Unitary

c. Federal

d. Intergovernmental

3.1


The Constitutional Basis of Federalism

3.2

Division of Power

National Government Powers

Delegated (Expressed)

powers

Implied powers

– “Necessary and proper”

powers

National government gains

due to implication in

Constitution

State Government Powers

Reserved powers

– “Police powers” powers to regulate the

health, safety, and morals of its citizens

Tenth Amendment

Bill of Rights - States

10th Amendment

“Powers not delegated to

the United States by the

Constitution, nor

prohibited by it to the

States, are reserved to

the States …., or to the

people.”

Federalism • Limit government - Two levels

– National and state

• Types of Powers

– Federal

• Expressed, Delegated, Enumerated Powers

• Implied Powers (Necessary & Proper, Elastic Clause)

– State

• Reserved Powers (Police Powers)

– Both

• Concurrent Powers

Separation of Powers • Each branch can participate in & partially or

temporarily obstruct work of each other

– Self Enforcing

• Influence activities of other branches

– Checks and Balances system

Constitution • Legislative Supremacy

– Framers made Congress preeminent branch

– How?

• Powers of Legislative branch in Article I of Constitution

– Sole power of appropriations

– Power to initiate all revenue bills

– Divide against itself • House vs. Senate

Powers of National Government • Constitution

• Article I, Section 8 –

– 18 Expressed powers for national government

– All other powers reserved for states

• “Necessary and Proper Clause”

– Implied powers • Expansive interpretation of

delegated powers

• Supremacy Clause

– All national laws and treaties the “Supreme Law of the Land”.

Powers of State Government • Anti-federalists

– Fear strong central government

– Wanted amendment to limit national power

• 10th Amendment

– Reserved powers

• States - Power of coercion

– Develop and enforce criminal codes

– Administer health and safety rules.

– Regulate family via marriage and divorce laws

– License individuals

– Power to define private property

– Regulations of fundamental matters known as police powers

• Concurrent Powers

– Chartering banks

– Licensing businesses

– Labor conditions & products

Federalism • National and State governments

– Levels of sovereignty used to restrain power of other

• Under Articles of Confederation

– States made own trade agreements w/ foreign countries

– Tax barriers between states

• After Constitution adopted

– Nearly 150 years

• Almost all fundamental policies governing lives of

Americans made by state legislatures

Article IV, Section 1 • Full Faith and Credit

– Each state expected to honor the “public Acts, Records, and Proceedings” of other states

• Drivers license, divorce decree, marriage license

– Controversy

• Same sex “civil unions” and marriages

• Defense of Marriage Act in 1996 – Federal government will not recognize gay marriage

– DOMA overturned by Supreme Court

Article IV, Section 2 • Comity Clause - Promote national unity

– Privileges and immunities - state citizens should be entitled to similar treatment in other states

– States cannot discriminate against someone from another state

• No special privileges to its own residents

– Criminal Justice

• States required to return fugitives to states they have fled

Compacts • Two or more states reach legally binding agreements

about how to solve problems that cross state lines

– Ex. Port Authority of New York and New Jersey


The Division of Power

States retained many powers Organize local governments and elections

Ratify Constitutional amendments

Equal representation in Senate

3.2


Table 3.2 Some Powers Denied States by the Constitution

3.2


The Division of Power

Federal obligations to states Cannot divide states

Cannot tax interstate exports

Protect states against invasion

Overlapping responsibilities

3.2


National Supremacy

Which level should do what? Debates over areas of policy responsibility

Supremacy clause

The Civil War

The Struggle for Racial Equality

The Tenth Amendment

The Eleventh Amendment

3.2


Wallace and segregation 3.2

Hulton Archive/Getty Images


National Supremacy

Implied Powers McCulloch v. Maryland (1819)

Enumerated powers

Implied powers

Elastic clause

3.2


3.2 Supremacy Clause and Immigration

John Moore/Getty Images News/Getty Images


National Supremacy

Commerce power Gibbons v. Ogden (1824)

Promote economic development

Regulate the economy

Expansion then retraction

3.2


States' Obligations to Each Other

Full faith and credit Defense of Marriage Act (1996)

3.2

Andrew Burton/Reuters


States' Obligations to Each Other

Extradition

Privileges and immunities

3.2


3.2 Which clause of the Constitution requires states to honor contracts

signed in other states?

a. Privileges and immunities

b. Full faith and credit

c. Necessary and proper

d. Commerce

3.2


a. Privileges and immunities

b. Full faith and credit

c. Necessary and proper

d. Commerce

3.2 3.2 Which clause of the Constitution requires states to honor contracts

signed in other states?


From Dual to Cooperative Federalism

Dual federalism Separate spheres of authority

Layer cake

Interpret federal power narrowly

Cooperative federalism Shared costs

Federal guidelines

Shared administration

3.3

Stages of Federalism

4 stages of Federalism

1789 1937 1960 1970 1990

1. “Dual Federalism”

2. “Cooperative Federalism”

3. “Fiscal Federalism”

4. “New Federalism”

Stages of Federalism: Stage 1

STAGE 1: “Dual Federalism” (1789–1937)

Central government focused on promotion of commerce and distribution of resources

States retained remaining powers

Layer Cake

Stage 1: Dual Federalism

Article I, Section 8 of Constitution Powers of national government, including:

• Interstate commerce clause (Commerce) • “Necessary and Proper” clause • McCulloch v. Maryland (1819) • Gibbons v. Ogden (1824)

“Dual Federalism” - relatively clear delineation of

power between national, state, and local governments.


STAGE 2: “Cooperative Federalism” (1937–?)

FDR New Deal - Increased role for national government

Altered balance of federal & state power.

Marble Cake

Stage 2: Cooperative Federalism NLRB v. Jones and Laughlin Steel (1937)

SC expanded interpretation of commerce clause

Allowed national government to regulate as well as promote interstate commerce

Expansion of national government power

Lines of authority between national and state government blur

New Deal expanded national government and executive branch

Empowers national government at expense of state autonomy.

However, there’s a carrot

Grants-In-Aid • National government ensures state cooperation with federal policies

by offering grants-in-aid

• Categorical Grants-In-Aid

– Given to states for more specific purposes

– Spending discretion remains in hands of federal officials and officeholders

• Block Grants

– Given to states for general purposes

– Allow state officials greater discretion over funds & spending

• Project Grants

– Submit proposals to federal agencies

• Formula Grants

– Use a formula (Need, Capacity to Pay)

– Determines amount of federal funds states receive

Stages of Federalism: Stage 3 STAGE 3: Fiscal Federalism (1960s–?)

State / Local gov. depend on grant-in-aid

National government further intervenes in state governments by influencing policy by threatening to withhold grants

“Coercive Federalism”

Stage 3: Fiscal Federalism

Regulate state speed limits

National government - withhold federal transportation dollars

Forcing states to comply - federal mandates


STAGE 4: “New Federalism” (1969–?)

Roll back of some aspects of Franklin Roosevelt’s New Deal coalition

Counter-federal trend

Began to return discretion to state and local governments

Stage 4: New Federalism “New Federalism” –

Return discretion to states begins in executive branch

Nixon, Carter, and Reagan administrations gave states larger role in administering federal policies.

Congress – Republicans after 1994 elections

Series of policies - federal government power “devolved” to states.

Welfare reform - good example of “devolution.”

1990s - Congress and Federal courts join “new federalism” revolution.

United States v. Lopez (1995)

United States v. Morrison (2000)

Supreme Court - restricted interpretation of what constituted “interstate commerce”

Used to justify federal government involvement in states

Despite recent court cases and “new federalism” -

National power grows in 20th century

“Cooperative Federalism” - state and local governments hooked

Important part of state and local governments’ budget


Interstate highways 3.3

Edwin Beckenbach/Getty Images


From Dual to Cooperative Federalism

Cooperative federalism in action Schools

Highways and State Alcohol laws

3.3


Devolution?

Party divide on federalism Democrats favor national government

Republicans favor states

Devolution since Reagan Loosening federal regulations

1994 Congress

Harnessing federal government power

3.3


Fiscal Federalism

The Grant System Categorical grants

Specific purpose

Crossover sanctions

Crosscutting requirements

Project grants

Formula grants

3.3


Fiscal Federalism

The Grant System Block grants

The scramble for federal dollars

The mandate blues

3.3


FIGURE 3.1 Fiscal federalism: Federal grants to state and local governments

3.3


No Child Left Behind Act 3.3

Jeff Greenberg/Peter Arnold/Getty Images


3.3 Which of the following gives states more discretion in using

federal funds?

a. Categorical grant

b. Formula grant

c. Block grant

d. Mandate

3.3


Diversity in Policy

Diversity in public opinion reflected

Policy innovation facilitated

Diversity has its downside

3.4


a. Diversity of policies in states

b. States can be policy innovators

c. States can spend less on education

d. All of the above

3.4 Which of the following is a result of federalism?

3.4


a. Diversity of policies in states

b. States can be policy innovators

c. States can spend less on education

d. All of the above

3.4 3.4 Which of the following is a result of federalism?


Federalism and Democracy

Contributions to democracy Decentralizes politics

Disputes resolved at lower levels of govt.

Majorities can be heard at state level

More opportunities for participation

Losing elections less painful

Detriments to democracy Electoral College

Thwarting national majorities

3.5


FIGURE 3.2 State and local spending on public education

3.5


Table 3.3 The Number of governments in America

3.5


Federalism and the Scope of the National Government

Why national government grew Economic intervention

Industrialization

Quotas

Subsidies

Preventing monopolies

Occupational health and safety

Urbanization

Housing

Social welfare

3.5


FIGURE 3.3 Fiscal Federalism: The size of the public sector

3.5


3.5 Federalism has contributed to democracy in all of the following

ways except:

a. The Electoral College

b. More opportunities for participation

c. Disputes resolved at lower levels

d. More points of access

3.5


a. The Electoral College

b. More opportunities for participation

c. Disputes resolved at lower levels

d. More points of access

3.5 3.5 Federalism has contributed to democracy in all of the following

ways except:

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