FEDERALISM SHANG E. HA SOGANG UNIVERSITY POL 3162 Introduction to American Politics

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Transcript of FEDERALISM SHANG E. HA SOGANG UNIVERSITY POL 3162 Introduction to American Politics


    SHANG E. HASOGANG UNIVERSITYPOL 3162Introduction to American Politics

  • OverviewAPT, Chapter 3

    What is federalism?How did the Founders balance national and state power in the Constitution?How has the concept of federalism evolved?How should we assess federalism?

  • The Conflict over Drinking Age

  • How Is This Related to the Conflict over Drinking Age?

  • Drinking AgeIn 1981, 29 states and the District of Columbia allowed either 18 year-olds or 19 year-olds to drink some kinds of alcohol.

    Under intense lobbying from Mothers Against Drunk Driving and other organizations, Congress passed a law in 1984 that would withhold 5 percent of federal highway funds in 1986 and 10 percent for every year after from any state that did not raise the drinking age to 21.

    By 1996, all 50 states and DC had the drinking age of 21.

    How did a policy that originally differed by state become a single national policy? And why did the winning policy move in the direction that it did?

  • FederalismFederalism a system of government that divides sovereign power across at least two political units.

    Sovereign power the amount of exclusive authority and autonomy retained by each unit of government.

    Balancing state and federal powers (from the above example)Congress cannot (or has decided not to) create national drinking ageCongress can withhold federal highway funds from non-compliant states

  • FederalismBasics of Federalism (sharing power)State governments are not responsible for national defense or foreign policyFederal government is not responsible for issues such as allowing smoking in bars or restaurants

    Governments like the United Kingdoms are not federal systems, but unitary governments (power is centralized within the national government.)

    At the other end of the spectrum are confederal governments (the states have most of the power and can veto actions taken by the central government; Confederations are rare in todays world.)

  • Balancing National and State Power in the ConstitutionConcepts that support Constitutions State-centered orientation10th Amendment The 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.

    11th Amendment Prevents citizens of one state from suing the government of another state. Passed in reaction to Chisholm v. Georgia (1793).

  • Balancing National and State Power in the ConstitutionConcepts that support Constitutions State-centered orientationDoctrine of Interposition The idea that if the national government passes an unconstitutional law, the people of the states (through their state legislatures) can declare the law void. This idea provided the basis for southern secession and the Civil War.

    States Rights The idea that states are entitled to a certain amount of self-government, free of federal intervention. This became a central issue leading up to the Civil War.

  • Balancing National and State Power in the ConstitutionConcepts that support Constitutions State-centered orientationFull faith and credit clause Part of Article IV of the Constitution requiring that each states laws be honored by other states. For example, a legal marriage in one state must be recognized across state lines. Due to the Defense of Marriage Act, passed in 1996, this does not apply to homosexual marriages But forget about it! (The 2015 SCOTUS decision on same-sex marriage)

  • Balancing National and State Power in the ConstitutionConcepts that support Constitutions Nation-centered orientationNecessary and proper clause Article I, Section 8, the elastic or necessary and proper clause, gives Congress the authority to make all Laws which shall be necessary and proper for carrying into Execution of the foregoing Powers.

    While enumerating Congresss powers, the elastic clause also leaves the door open for Congress to expand the scope of conflict as Congress can point to this clause whenever it passes legislation that might not directly relate to the powers enumerated to the Congress.

  • Balancing National and State Power in the ConstitutionConcepts that support Constitutions Nation-centered orientationSupremacy clause The part of Article VI of the Constitution that states that the Constitution is 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.

    Enumerated powers Those powers given specifically to Congress, such as: Admit new states to the union Declare war Coin money Create and maintain armed forcesRegulate commerce with American states and with foreign countries

  • Balancing National and State Power in the ConstitutionConcepts that support Constitutions Nation-centered orientation

    Privileges and Immunities Clause Part of Article IV of the Constitution requiring that states must treat non-state residents within their borders as they would treat their own residents. This was to promote commerce and travel between the states. Example: States cant deny police protection to visitors to a state.

    When isnt this true? Colleges can charge out of state tuition to those not from the colleges state. Only citizens of a state can vote in that states elections.

  • The Evolution of Federalism

  • Types of Federalism

  • Dual (layer-cake) FederalismThe form of federalism that sees national and state governments as distinct entities providing separate services.

    The Civil War AmendmentsAbolished slavery (the 13th)Prohibited states from denying citizens due process or equal protection of the laws (the 14th)Gave newly freed male slaves the right to vote (the 15th)

  • States Rights?States Rights have frequently been used as a cover for state-sanctioned discrimination and bigotry (e.g. Jim Crow)

    Today many states are trying to implement laws that are more liberal than the federal governments via states rights arguments. Those laws include the legalization of gay marriage, medical marijuana, and assisted suicide.

  • Cooperative (marble-cake) FederalismThe form of federalism in which national and state governments work together to provide services efficiently

    The Progressive era of the early twentieth century and the subsequent New Deal of the 1930s brought with it a new era of American federalism in which the federal government became much more involved in the economy.

    This resulted in federal involvement in education, agriculture, social welfare, transportation, civil rights, and even management-labor relations.

  • Picket Fence FederalismA more refined and realistic form of cooperative federalism in which policy makers within a particular policy area work together across the levels of governmentFor example, someone working in a states education department will have more contact with people working in local school districts and the national Department of Education than with those who also work at the state level but focus on transportation policyAn illustration (next slide)

  • Picket Fence Federalism Example

  • Coercive Federalism

  • Coercive FederalismA form of federalism in which the federal government pressures the states to change their policies by using regulations, mandates, and conditions (often involving the threat of losing funding).

    Unfunded Mandates Federal laws that require the states to do certain things but do not provide state governments with funding to implement these policies.

    Federal preemptions The impositions of national priorities on the states through national legislation that is based on the Constitutions supremacy clause.

  • Coercive Federalism: An ExampleFor example, on the issue of environmental policy, Congress has passed a number of laws, such as the Clean Water Act and the Endangered Species Act, that required the states and local governments to comply with the national rules.

    At the same time, Congress has passed a number of incentive programs, which have encouraged states and localities to innovate in clean energy and reduce fossil fuel use.

    Between the requirements and the incentives, Congress has pushed states and localities towards greater levels of energy efficiency and decreased use.

  • Fiscal FederalismA form of federalism in which federal funds are allocated to the lower levels of government through transfer payments or grants.

    Congress uses payments to get states to cooperate with its will e.g., withholding highway funds until states imposed 21-to-drink (see above).

    This type of federalism was practically non-existent in the 19th century and took hold only after FDRs New Deal led to a centralization of national authority and an increased federal role in the economy.

  • Fiscal Federalism (cont)Categorical grants Federal aid to state or local governments that is provided for a specific purposee.g., mass transit program within the transportation budget or a school lunch program within the education budget.

    Block grants Federal aid provided to a state government to be spent within a certain policy area, where the state can decide how to spend within that area.

    General revenue sharing (GRS) A type of grant used in the 1970s and the 1980s in which the federal government provided state governments with funds to be spent at each states discretion.

  • Federal and State/Local Government Spending (including grants) as a Percentage of GDP

  • Federalism: National and State Responsibilities

  • The Diffusion of Innovation Across StatesPolicy Diffusion