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Chapter 3 Federalism: Division of Power
Among National, State, and Local Governments
© 2009, Pearson Education
Fiorina, Peterson, Johnson, and MayerNew American Democracy, Sixth Edition
© 2009, Pearson Education
The Federalism Debate: It’s Old but It’s New
Federalism — defined in terms of sovereignty– fundamental governmental authority
Federalism divides sovereignty between at least two different levelsU.S. — fundamental units– national government– state government
© 2009, Pearson Education
Federalism Debate: Old but New
Federal system—each fundamental level of government must have:– its own set of elected officials– its own capacity to raise revenues by
taxation– independent authority to pass laws
regulating the lives of its citizensLocal governments are not fundamental units in the U.S.Dillon’s Rule
© 2009, Pearson Education
Federalism in Context
Most countries have a unitary government– system under which all authority is held by
a single, national governmentFederalism is essential to the founding and growth of the U.S.– strong central government, but sovereignty
of the existing states preserved– allowed for entry into the union in an
orderly way– federalism helped the U.S. adapt to different
cultural and economic conditions.
© 2009, Pearson Education
Federalism and the Ratification of the Constitution
The Constitution, Tenth 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.”
© 2009, Pearson Education
Federalism and the Ratification of the ConstitutionWeak government– Denied congress
general legislative power
– Gave states independent authority
– Guaranteed existing state boundaries
– 10th amendment reserved to the states and to the people all powers not delegated to the federal government
Strong government– Necessary and proper
clause– Supremacy clause
• the laws of the national government “shall be the supreme law of the Land.”
© 2009, Pearson Education
Constitutional Division of Power Between National and State Governments
© 2009, Pearson Education
The Evolution of the Federalism Debate
Issues raised during ratification campaign never truly disappearedDriving force of this continued debate:– Political conflict: those who would gain from
centralized powers and those who would benefit from local control
Supreme Court dealt with much of the conflictJudicial review: Court authority to declare laws null and void on the grounds that they violate the Constitution.
© 2009, Pearson Education
Dual Sovereignty and Nullification
Legal debate on federalism
Doctrine of dual sovereignty
─Theory of federalism: both the national and state governments have final authority over their own policy domains.
─An American invention
─Publius: division of power was the best way of preserving liberty
─Decreases probability of tyranny of the majority
© 2009, Pearson Education
Doctrine of Nullification
No serious consequences at firstMcCulloch v. Maryland—preserved the UnionBut later, circa 1828, John Calhoun claimed that states had power to nullify federal lawsControversy on tariffs that favored northern manufacturers- S.C. declared tariff null and void and threatened to
secede- Jackson said he would use military force - Compromise: Congress passed lower tariff and S.C.
agreed to pay it
Issue of Slavery• southern state right to secession• resolution: doctrine of nullification repudiated.
Dual Sovereignty and Nullification
© 2009, Pearson Education
The Supreme Court and the Meaning of Dual Sovereignty
Once the doctrine of nullification was laid to rest, the federal courts, not the states, had to decide the constitutional meaning of dual sovereignty
After Civil War: courts preserved state autonomy
1930s: shift to argue for broader national authority
1990s: a reassertion of states’ rights
- Use of the Eleventh Amendment: doctrine of state sovereign immunity
© 2009, Pearson Education
The Commerce Clause and Court-Packing
FDR and the New Deal– Use of the commerce clause
Supreme Court distinction between the two invalidated parts of Roosevelt’s program– Unterstate versus intrastate commerce
1936 landslide for FDR– Mandate to move against the Court– Court-packing plan– Many uneasy with increase in size of Court– Switch in time that saved nine
U.S. v. Lopez (1995)—Gun-Free School Zones Act
© 2009, Pearson Education
Necessary and Proper Clause
Gives Congress authority to “make all laws which shall be necessary and proper to carrying into execution”: the delegated powers
Clause examined during McCulloch v. Maryland
Has given Congress broad powers
But limited: New York v. U.S. (1992)
NIMBYs and unfunded mandates
– Doctrine of dual sovereignty revived
© 2009, Pearson Education
State Sovereign Immunity
11th Amendment explicitly restricts power of the national government
Mid-1990s: Divided Supreme Court used it to
– Reinforce the concept of state sovereign immunity
– Legal doctrine that says states cannot be sued under federal law by private parties
Indian Gaming Regulatory Act of 1988
Americans with Disabilities Act of 1990
Cruise line and state port of Charleston (2002)
11th Amendment and states being sued under FMLA (2003)
© 2009, Pearson Education
Cooperative Federalism
Congressional power to tax and spend provides the constitutional basis for theory of cooperative federalism (marble cake federalism)
– All levels of government can work together to solve common problems
Spending clause
– Gives Congress the power to collect taxes to provide for the general welfare
© 2009, Pearson Education
History of Federalism
© 2009, Pearson Education
A Government of Shared Functions
Grodzins: all levels of government should work together because– Cooperative federalism is democratic– Compromises are reached among officials
elected by different constituencies– Professional administrators usually share
many values, no matter what level of government they work for
Intergovernmental grantsPork barrel projects
© 2009, Pearson Education
Categorical Grants
Federal grants to a state or local government that impose programmatic restrictions on the use of funds– War on Poverty (Johnson’s Great Society)
• designed to enhance the economic opportunity of low-income citizens
© 2009, Pearson Education
Categorical and Block Grants
© 2009, Pearson Education
© 2009, Pearson Education
Problems of Implementation
Implementation: the way in which grant programs are administered at the local level.Are grant programs effective? Some say no. Here’s why:– National and local officials serving different
constituencies, often block and check one another
– When many participants are involved, delays and confusion are almost inevitable
– Federal policy makers often raise unrealistic expectations by using exaggerated rhetoric
© 2009, Pearson Education
© 2009, Pearson Education
Block Grants
Intergovernmental grants with a broad set of objectsLess complicated than categorical grantsAdvocated by Republicans– Nixon: general revenue sharing– Reagan: block grants and public health
programs– Congress 1994: welfare became block grant
that gave states broad discretion
© 2009, Pearson Education
The Contemporary Debate
Now: Republicans support categorical grants that support their policy agenda.– For example: No Child Left Behind Act
(2001)Unfunded mandates– Federal regulations that impose burdens on
state and local governments without appropriating enough money to cover costs
– Republican candidates favor devolution (a return of governmental responsibilities to state and local governments)
– Devolution• return of governmental responsibilities to
state and local governments
© 2009, Pearson Education
© 2009, Pearson Education
Local Government
Plays a more prominent role in the federal system today than in the recent past
State and local taxes fund a large proportion of all domestic government expenditures
© 2009, Pearson Education
The Number and Types of Local Governments
Over 74,000 in 2002Up from 46,000 in 1942County = the basic unit– Manage school systems, welfare programs,
local roads, sanitation, sheriff, etc.– Often divided into townships– Many municipalities in urban areas—nearly
20,000– Special districts—more than 35,000 (specific
function)
© 2009, Pearson Education
© 2009, Pearson Education
Local Elections
Near invisibility of local elections helps reduce local participation rates
Newspaper coverage haphazard
Often do not coincide with other elections
Oversee national elections
– county boards of election
– controversy in Florida in 2000
– 2002 Help America Vote Act
© 2009, Pearson Education
Popularity of Local Government
Local government remains very popularPeople trust their local officials– Can vote with their feet
© 2009, Pearson Education
Limits on Local Government
Often do not have the resources to meet the needs of the poor, sick or disabled
– Local governments on average spend only about 10.5 % of their budgets on social programs
Compete with one another to attract businesses
– Can end up with cutthroat bidding wars
– Even compete to secure or retain professional sports teams
© 2009, Pearson Education
State GovernmentMost states have two chamber legislatures (except Nebraska)All states have multi-tiered court systemEach state has an independently elected governorBut they do vary– Legislatures vary in size– When they vote varies– How executive officers outside of
governor are chosen varies– State policies vary, as well
Laboratories of democracy– Variations in state political cultures
© 2009, Pearson Education
State Elections
State elections resemble national elections
Same two political parties dominate
– A trend toward competitive politics and divided government has developed in most states
– Democrats have had the advantage in state legislative races
– Republicans have more often won gubernatorial races
Why do you think this is the case?
© 2009, Pearson Education
Variation in State Government ResponsibilitiesThe size and range of state responsibilities
have grown dramatically in recent decades
State expenditures have increased
- heavy burden of funding elementary and secondary education, as well as state colleges and universities
- maintain state parks, highways systems, prisons
- manage welfare and Medicaid programs
- provide grants to local governments to help pay for police, fire, and other services
Varies by state; politics play a role as well
© 2009, Pearson Education
Recent Developments at the State Level
State Financial CrisisState political institutions have become more modern– Reapportionment– Professionalization
Role of governor has grown– Presidential hopefuls
States have begun to develop their own economic policies– Trade missions