1. Pearson-Longman copyright 2004 Federalism: Division of Power Among National, State, and Local Governments Chapter Three

2. Pearson-Longman copyright 2004 Federalism Debate: Old but New Federalism - defined in terms of sovereignty –Fundamental governmental authority Federalism divides sovereignty between at least two different levels. U.S. - fundamental units –National government –State government

3. Pearson-Longman copyright 2004 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 citizens. Local governments are not fundamental units in the U.S. Dillon’s Rule

4. Pearson-Longman copyright 2004 Federalism in Context Most countries have unitary government –System under which all authority is held by a single, national government Federalism suited to U.S. conditions –No ratification unless existing states retained –Facilitated admission of new territory to the union –Helped government adapt to ethnic and cultural diversity –Promoted economic development

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6. Federalism and the Ratification of 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. Federalists versus Anti-Federalists Constitution a compromise of weak government proponents and strong government proponents

7. Pearson-Longman copyright 2004 Federalism and the Ratification of the Constitution Weak 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.”

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9. The Evolution of the Federalism Debate Issues raised during ratification campaign never truly disappeared. Driving 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 conflict Judicial review: Court authority to declare laws null and void on the grounds that they violate the Constitution.

10. Pearson-Longman copyright 2004 Dual Sovereignty and Nullification Legal debate on federalism –Doctrine of dual sovereignty theory of federalism saying that 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

11. Pearson-Longman copyright 2004 Dual Sovereignty and Nullification Doctrine of Nullification –No serious consequences at first –McCulloch v. Maryland –But…later circa 1828 John Calhoun claimed that states had the power to nullify federal laws –Controversy 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.

12. Pearson-Longman copyright 2004 Supreme Court and the Meaning of Dual Sovereignty Up to federal courts 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 11th Amendment: doctrine of state sovereign immunity

13. Pearson-Longman copyright 2004 The Commerce Clause and Court-Packing New Deal Interstate versus Intrastate commerce Supreme Court distinction between the two invalidated parts of Roosevelt’s program 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

14. Pearson-Longman copyright 2004 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)

15. Pearson-Longman copyright 2004 State Sovereign Immunity 11th Amendment explicitly restricts power of the national government. Mid-1990s Divided Supreme Court has used it to –Reinforce the concept of state sovereign immunity –Legal doctrine that says states cannot be sued under federal law by private parties –Ex.: Indian Gaming Regulatory Act of 1988 bad faith of state in negotiation; Indians could not sue state due to their sovereign immunity –Ex.: Americans with Disabilities Act of 1990 Sue state government if disabled mistreated? No

16. Pearson-Longman copyright 2004 Cooperative Federalism Congressional power to tax and spend provides the constitutional basis for theory of cooperative 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

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18. A Government of Shared Functions Grodzin: 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 grants Pork barrel projects

19. Pearson-Longman copyright 2004 Categorical Grants Federal grants to a state and/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.

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21. Problems of Implementation Way in which grant programs are administered at the local level Are they effective? –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.

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23. Block Grants Intergovernmental grants with a broad set of objects Less complicated than categorical grants Advocated by Republicans –Nixon: general revenue sharing –Reagan: block grants and public health programs –Congress 1994: Welfare became block grant that gave states broad discretion.

24. Pearson-Longman copyright 2004 The Contemporary Debate Now: Republicans support categorical grants that support their policy agenda. 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).

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26. Local Government Play a more prominent role in the federal system State and local taxes fund a large proportion of all domestic government expenditure

27. Pearson-Longman copyright 2004 The Number and Types of Local Governments Over 74,000 in 2002 Up from 46,000 in 1942 County = 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 - over 35,000 (specific function)

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29. Local Election 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

30. Pearson-Longman copyright 2004 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 12 percent of their budgets on social programs Compete with one another to attract businesses –Can end up with cutthroat bidding wars

31. Pearson-Longman copyright 2004 State Government Most states have two chamber legislatures (excluding Nebraska) Each an independently elected governor All states have multi-tiered court system But 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.

32. Pearson-Longman copyright 2004 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?

33. Pearson-Longman copyright 2004 Variation in State Government Responsibilities The 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 plays a role as well

34. Pearson-Longman copyright 2004 Recent Developments at the State Level State 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

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