Federalism

On August 29, 2005, Hurricane Katrina, a category 5 storm, swept across the Mississippi Gulf Coast, devastating New Orleans

and parts of Mississippi and Alabama.

So what IS Federalism?

By definition, federalism is a way of organizing a nation so that 2 or more levels of gov’t have formal authority over the same land and people (shared power between units of gov’t)

Example: The state of GA has formal authority over its inhabitants, but the national gov’t can also pass laws and policies that affect Georgians

3 Systems of Government1. A Unitary System– All the power resides in the

central government– American states are unitary

gov’ts in respect to their local gov’ts• They can create or abolish

local gov’ts• However, states do not

receive their authority from the national gov’t…but directly from the Constitution

– Most popular form of government historically and today

3 Systems of Government2. A Confederation

– Central gov’t is weak; power is retained by local or regional governments• US began as a

confederation (Articles of Confed.)

– Very few exist today (the few that do are in international organizations)

– Example: The EU (European Union), The United Nations

3 Systems of Government3. A Federal System– Divides power between

national, state, and local gov’ts

– Only 11 of the 190 or so countries in the world have a federal system

– You may also see this referred to as “intergovernmental relations”

Why is Federalism important?

• It DECENTRALIZES OUR POLITICS• With more layers of gov’t, more opportunities

exist for political participation. With more people wielding power, there are more points of access in gov’t and more opportunities for gov’t to satisfy the demands of interests for public policies

Why is Federalism important?

• It DECENTRALIZES OUR POLICIES• Most of our public policy debates (healthcare,

abortion, drinking age, the environment) are debates about federalism

• States are responsible for most public policy– Becomes national issues with groups take their

cases to Congress or the Supreme Court

A Perfect Example…

Candy Lightner, a California real estate broker grieving over the death of her 13-year-old daughter at the hands of a drunk driver, formed Mothers Against Drunk Driving (MADD). MADD lobbied Congress to pass a law withholding federal highway funds from any state that did not raise its drinking agt. Today, every state has a legal drinking age of 21

Constitutional Basis of FederalismThink back to the Constitution packet you

completed as part of your summer assignment…where (and how often) was the term “federalism” used?

Constitutional Basis of Federalism

The Framers favored a stronger national gov’t, but they also made states vital components in the new gov’t– States and equal representation in the Senate

(made un-amendable in Article V)– States are responsible for elections– States are guaranteed continuation (cannot be

chopped up to create new states)

Constitutional Basis of Federalism

The National gov’t has certain obligations to the states:– Protect against violence and invasion– Is the national gov’t always efficient in meeting its

obligations to the states?

Constitutional Basis of Federalism

Article VI = Supremacy Clause

3 Items are the supreme law of the land:1. The Constitution2. Laws of national gov’t (when consistent with

Constitution)3. Treaties (only made by national gov’t)

Constitutional Basis of FederalismNational gov’t can only operate within its

appropriate sphere, it cannot usurp states’ powers?

What are the boundaries?• 10th Amendment: “powers not delegated to the

United States by the Constitution, nor prohibited by it to the states, are reserved to the states respectively, or to the people.”

Constitutional Basis of Federalism

Occasionally, issues arise in which states challenge the authority of the national gov’t

• Late 1980s, governors of several states refused to allow their National Guard to engage in training exercises in Central America

• In 1990, SC reiterated the power of the national gov’t by siding with the president.

• Other issues?

Constitutional Basis of Federalism

Why is it that the federal gov’t has gained power?1. Elaboration of the doctrine of implied powers– McCulloch v. Maryland

• Supremacy of National gov’t• Implied powers (tied to “necessary and proper”/elastic clause)

2. The Commerce Power– Gibbons v. Ogden– Regulating commerce is one of the national gov’t’s most important source of power

Constitutional Basis of Federalism

Why is it that the federal gov’t has gained power?

3. The Civil War– Struggle between state and national gov’t

4. The struggle for Racial Equality– The states resisted being told by the federal gov’t

that they had to obey/enforce civil rights legislation

States’ Obligations to Each Other

• Full Faith and Credit (Article IV)• Extradition – states are required to return a

person charged with a crime in another state to that state for trial or imprisonment.

• Privileges and Immunities – prohibits states from discriminating against citizens of other states.– Exceptions: out-of-state tuition, state elections

Changes in FederalismOver the last 200 years, their has been a shift

from dual federalism to cooperative federalism

• Dual Federalism - Both the national gov’t and the states remain supreme within their own spheres

Layer Cake Analogy

Changes in Federalism

• Cooperative Federalism – states and the national gov’t share powers and policy assignments

Changes in Federalism

• The early American federal system leaned toward dual federalism

• We see the shift through examples– Education– Highways

• Cooperative Federalism today rests on several standard operating procedures

Cooperative Federalism• Shared Costs: cities and states can receive federal

money if they pay some of the cost• Federal Guidelines: most grants to states come

with strings attached (ex: highways funds = increase in drinking age)

• Shared Administration: state and local officials implement federal policies, but they have some administrative powers of their own (ex: Department of Labor)

Devolution?

Democrats• Support increasing the

power of the federal gov’t in order to advance policies

Republicans• Favor states taking

responsibility for issues

Ronald Reagan promised to “restore the balance between levels of gov’t”• Decreased federal funding to states

Devolution – transferring responsibility for policies from the federal gov’t to state and local gov’t

Devolution?

• Since the mid-1990s, Republicans have found that restricting state power to be the most effective way of achieving many of their policy objectives– Loosening economic and envir. Regulations– Controlling immigration– Restricting the expansion of gov’t health care

coverage– Stiffening penalties for criminals

Fiscal Federalism

• Definition – the pattern of spending, taxing, and providing grants in the federal system

MONEY = INFLUENCE

The Grant System

Federal Grants

TransportationHealthEducation and trainingIncome SecurityOther51%

10% 9%

19%

11%

2 Major Types of Federal Aid1. Categorical Grants – can be used only for

specific purposes (or categories)– Main source of federal aid– They come with strings attached, such as

nondiscrimination provisions– 2 types of categorical grants

1. Project Grant – awarded on the basis of merit2. Formula Grant – distributed according to a formula

(population, per capita income, percentage of rural population, etc.)– Medicaid

Categorical Grants-in-aid

• Sends revenue from federal taxes to state and local gov’ts. This transfers the burden of paying for services from those who pay state and local taxes, such as taxes on sales and property, to those who pay national taxes, especially the federal income tax

2 Major Types of Federal Aid

2. Block Grants – given more or less automatically to states or communities, which then have discretion within broad areas in deciding how to spend the money– The % of federal aid in the form of block grants

began increasing in 1995• Welfare

Mandates

• A requirement that directs states or local gov’ts to comply with federal rules under threat of penalties or as a condition of receipt of federal grant

• Funded, nonfunded, or underfunded

Example of Mandate…Medicaid

• Administered by states• Receives support from both political parties• National gov’t pays the majority of the bill• Congress has moved to expand Medicaid,

requiring states to extend coverage– They have also increased the funding…but placed

new requirements that put huge demands on state budgets

You are the Policy MakerA conviction for first-degree murder in 36 states may well

mean the death penalty for the convicted murderer. In 14 other states and the District of Columbia, first-degree murderers are subject only to a maximum penalty of life behind bars. Some people see diversity in public policy as one of the advantages of federalism. Others may argue that citizens of the same country ought to be subject to uniform penalties.

What do you think? Should whether you live depend on where you live?