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Federalism Chapter 3
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The Roots of the Federal System
The Framers worked to create a political system that was halfway between the weak Articles of Confederation and the tyrannical unitary system of Great Britain.
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Federalism Defined Federalism is a political system in which power is divided and shared between the national/ central government and the states in order to limit the power of government.
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Major Arguments for Federalism
Check on federal power The provision for increased participation in politics/training for future leaders The use of the states as testing grounds or laboratories for new policies and programs. Serves local interests More efficient
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Disadvantages of Federalism
Too many methods/inconsistencies Accountability Confusion Small units dominated by single group
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Federalism and Democracy
Federalism contributes to democracy by increasing access to the government at all levels, but it also creates disadvantages due to differences in the resources of individual states. These differences can lead to inequities among states in areas such as education. What are some public services that the state of Tennessee provides? What are some inequities among states? Local communities?
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The Powers of Government in the Federal System
The distribution of powers in the federal system consists of several parts: enumerated powers implied powers reserved powers (state powers) concurrent powers.
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State Powers State powers, in the late 1790’s, were taken for granted. They were not thought to need enumeration. When the Constitution was written, States had all the powers. Framers felt no need to list and restate the powers of the states. People often assume the Framers intended the federal government to be more powerful because their list of powers is longer. Not true.
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The Evolution and Development of Federalism
• The allocation of powers between the national government and the states has changed dramatically over the past 200 years due to rulings of the Supreme Court. • The Supreme Court has a major role in defining the nature of the Federal system because the distribution of power between the state and national government is not clearly defined .
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The Evolution and Development of Federalism
Supreme Court expanded the powers of the national government through a broad interpretation of the -Necessary and Proper Clause -Supremacy Clause -Commerce Clause
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Federalism and the Marshall Court
• Two rulings in the early 1800s had a major impact on the balance of power between national and state governments. – McCulloch v. Maryland (1819) • Upheld power of national government to establish a bank and denied the right of state to tax national bank (Supremacy Clause) – Gibbons v. Ogden (1824) • Upheld broad congressional power to regulate interstate commerce (Commerce Clause)
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McCulloch v. Maryland (1819)
McCulloch was the first major decision by the Supreme Court under Chief Justice John Marshall to define the relationship between the states and the national government. • Constitution enumerates powers that give Congress the authority to levy and collect taxes, issue a currency, and borrow funds. • From the enumerated powers, Marshall felt it was reasonable to imply that Congress had the power to charter a bank. • Right of a state to tax a federal bank? No.
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McCulloch v. Maryland (1819)
The Court upheld the power of the national government to establish a bank and denied the right of a state to tax the bank. • The Court’s broad interpretation of the necessary and proper clause and the supremacy clause paved the way for later rulings upholding expansive federal powers.
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Dual Federalism: The Taney Court, Slavery, and the Civil War
• Roger B. Taney became Chief Justice after John Marshall. He had a different notion about federalism. • Under Taney, the Supreme Court began to articulated the idea of concurrent powers and dual federalism. **
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Dual Federalism: The Taney Court, Slavery, and the Civil War • Dual Federalism (Layer Cake Metaphor)
– Belief that having separate and equally powerful levels of government works best – Each layer of government (national, state, local) had clearly defined powers. – National government should not exceed its constitutionally enumerated powers. – Supreme Court tended to limit the national government’s authority in areas such as slavery and civil rights.
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The Civil War, Its Aftermath, and the Continuation of Dual Federalism
Civil War changed the nature of federalism. • National government grew in size and powers after Civil War. – 13th, 14th, and 15th Amendments • Prohibited slavery and granted civil and political rights to African Americans. – Supreme Court continued to let the states decide issues of slavery and civil rights • Plessy v. Ferguson (1896)
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The Changing Nature of Federalism: Layer Cake to Marble Cake
• Dual Federalism (Layer Cake Metaphor) – Each layer, national, state and local, had clearly defined powers and responsibilities. – • Cooperative federalism (Marble Cake Metaphor) – The intertwined relationship between the national, state and local governments that began with the New Deal. –
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Cooperative Federalism: New Deal and Growth of National Government
– The New Deal ( ) required cooperation across all levels of government – Intense governmental activity on the national level with new agencies and programs required in response to the Great Depression – Supreme Court worried about scope of these programs in terms of regulating commerce and the economy – Court-packing plan response to anti-New Deal court decisions
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Layered Cake vs. Marble Cake
**Marbled Cake Cooperative Federalism: Elements of national and state influence swirl around each other, without clear boundaries Where does Federal government end and State begin? Growth of cooperative federalism v. dual federalism because federal government began to subsidize state and local activities in hopes of encouraging national goals Layered Cake Existed Prior to the New Deal Each level of government had its own distinct role -- national, state & local
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**Intergovernmental Relations Today
DUAL FEDERALISM: Each level of government has distinct responsibilities that do not overlap. States are sovereign. COOPERATIVE FEDERALISM: Levels of government share responsibilities
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Intergovernmental Relations Today
Shared Administration: Though programs must adhere to basic federal guidelines, they are administered according to the state’s directives. Shared costs: To receive federal aid, states must pay for part of a program. Federal guidelines: To receive funding, state programs must follow federal rules and regulations.
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Quiz— If the allocation of power under dual federalism were compared to a cake it would be most like A marbled cake where the flavors blend together An angel food cake—fluffy with little substance New York Cheesecake—heavy and crushing under its own weight A layer cake with two distinct layers A cupcake If the allocation of power in a cooperative federal system were compared to a cake it would be most like A single layer cake A cake walk; who gets what is random Fifty marbled cupcakes A layer cake with many layers
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D. States are supreme over national government E. Both A and B
3. In Cooperative Federalism A. States and national government remain supreme within their own spheres B. Responsibilities are mingles and distinctions are blurred between the levels of government C. Powers and policy assignments of the layers of government are distinct D. States are supreme over national government E. Both A and B 4. Since the ratification of the Constitution, American federalism has gradually changed from Cooperative to dual federalism State domination to national domination Dual to cooperative Unitary to federal Federal to unitary
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Regulated Federalism: Federal Grants and National Efforts to Influence the States
• National government further intervened in state government decision-making by threatening to withhold federal grants. • Most grants were categorical grants – Grant for which Congress appropriates funds for a specific purpose
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Regulated Federalism: Federal Grants and National Efforts to Influence the States
1960s War on Poverty – Direct assistance to states, local governments, and citizen groups – Grants used to push national agenda rather than respond to state demands • Regulation of speed limits and the establishment of the drinking age by withholding highway funds.
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Devolution: Returning Power to the States and Local Govts.
New Federalism: 1981 to Present – Federal/state relationship proposed by Reagan administration during the 1980s – Advocated return of administrative powers to the state governments – Strong effort to reduced the size and power of the federal government – Block grants • Broad grant with few strings attached • Given to states by federal government for activity in specified area (education)
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Devolution : Returning Power to the States
Federalism Under the Bush Administration • George W. Bush campaigned on a platform of limited federal government. • Argued that state and local governments should have extensive powers over programs such as education and welfare. • Struggling economy, wars, etc., produced – Budget shortfalls at federal and state levels – States raised taxes and cut services; received aid from federal government
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Devolution : Returning Power to the States
Federal government expanded in post 9/11 era • Department of Homeland Security • No Child Left Behind • Transportation Security Agency • Law enforcement agencies and intelligence bureaus
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Federal-State Relationships
Conflict and Compromise
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Federalism and the Supreme Court
Supreme Court is a powerful influence in the balance of shared powers in the American federal system. • From the New Deal until 1980’s, Supreme Court expanded national powers and restricted state power in their rulings.
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Fiscal Federalism—Federal Government holds purse strings.
The system of distributing federal money to state governments. The power of the national government to influence state policies through grants About a quarter of states’ fiscal spending is derived from federal aid
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Money & Federalism Despite national supremacy, you still need individual votes from individual congress people from various states…so how do you get the support? Example: Federal government allocate and give to states to spend as they want/need (GRANTS-IN-AID) If money is available, states go for it - spending increases! By ‘60s, feds want to know how money is spent - becomes harder to get… Feds say programs had to benefit whole country (poor, crime, pollution) - not as easy to get money - leads to growth of lobbyists and interest groups.
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Inter-Governmental Revenue
Revenue distributed by one level of government to another. Comes in the form of: **Federal Grant: (Grants-in-aid)—given to states for specific purposes. These grants not only supply funds, but influence states by stipulating programs and goals that the federal government wants to achieve. Grants-in-aid are federal funds allocated to states and local governments. Reasons for grants: Abundant National Government Resources; Local Provision
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Categorical-formula Grants: Specified and funds matched by states
**Categorical-formula Grants: Specified and funds matched by states. Federal funds go to all the states on the basis of a formula depending on the states wealth and usually require that the state match the funds. Used for programs to fight crime, improve streets, control air, special education programs, etc. Restrictive to specificprograms. (Big Federal Government) Two Types: Most Common is PROJECT GRANTS: Awarded on basis of competitive applications. Last Type is FORMULA GRANT: Distributed according to a formula. If you fit into that formula, you automatically qualify. (Welfare)
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Block grants slow down because:
**Block Grant: Large grant of money that can be used for a general purpose such as public health or crime control. Allows states more discretionary spending. (Small federal government) Block grants slow down because: A) State agencies don’t want to share money with each other B) Feds like control over categorical grant C) Flaws in system from bad census reports, etc - demographic qualification key to get money
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Republicans want to devolve these so states run own programs
Devolution:Transferring responsibility of policies from federal to state and local governments 3 Types of Block Grant a) operational (run programs) b) capital (buildings/services) c) entitlements –to poor/needy/AFDC & Medicaid) Republicans want to devolve these so states run own programs Welfare signals devolution Pro - end dependency on government & promote self-sufficiency Con - create more poverty & hurt disadvantaged
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Why Has Devolution Grown?
Ideology - Republicans like it - Distrust “big” gov’t Cut deficit (programs) - reduce spending American negativity towards entitlements
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--Can cause states to have to spend (prisons, schools, discrimination)
**Mandates: Formal order given by a higher authority (federal government) telling the state and local governments what programs to implement. Most of these are unfunded and states have to come up with their own money. Mandates can create economic hardships for states when Congress creates financial obligations for the states without providing funding for those obligations --Can cause states to have to spend (prisons, schools, discrimination) --To get money, states must comply with “conditions of aid” (lower drinking age) --Unfounded & Unclear Criticisms - what does equal access mean? What is a disability? --Free money is not “free” because it signals federal power – conditions of aid make it hard to get money Civil Rights Act 1964 Voting Rights Act 1965 Americans with Disabilities Act (ADA)(1990) No Child Left Behind Act (2002) -- note the inclusion of mandatory military recruiters on high school campuses Clean Air Act
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Conditions of Aid: Federal government will give states money IF they meet the conditions given to receive the aid. Requires states to spend grant money in certain way in they want to receive federal funding. --(Examples: Government will give money to states if they lower drunk driving limit, speed limits, etc. )
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Last Quiz of Federalism
The main type of federal aid to state and local governments is in the form of Block grants Formula grants Categorical grants Project grants Revenue sharing The most common type of categorical grant is Rescission fund Disaster relief
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Grants that are given more or less automatically to states or communities which have discretion how to spend the money are called A. Project grants B. Discretionary funds C. Formula grants D. Categorical grants E. Block grants Programs such as Medicaid and Aid for Families with Dependent Children, where people automatically qualify for aid if they meet the requirements are examples of A. Dual federalism B. Project grants D. Block grants E. Welfare
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Welfare Reform & the States
Aid to Families with Dependent Children (AFDC) was established under the Social Act of 1935. An entitlement program for children in poor, mostly female-headed, families Eligibility rules and funding came from national government, while the states administered the program
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Personal Responsibility and Work Opportunity Reconciliation Act (1996)
This act was a major overhaul of welfare, requiring work rather than government assistance, directly affected many Americans. gave the states much wider latitude to create their own welfare programs continued federal funding of welfare programs *It was also passed by a Republican Congress and signed by a Democratic president, Bill Clinton, thus signaling the bipartisan abandonment of the ideas that undergirded President Lyndon Johnson’s Great Society.
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No Child Left Behind
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**American with Disabilities Act, 1990
The Americans with Disabilities Act (ADA) is the most comprehensive federal civil-rights statute protecting the rights of people with disabilities. It affects access to employment; state and local government programs and services; access to places of public accommodation such as businesses, transportation, and non-profit service providers; and telecommunications. "The ADA is a mandate for equality. Any person who's discriminated against by an employer because of a real disability -- or because the employer regards the person as being disabled, whether they are or not -- should be entitled to the law's protection
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**Gun Free School Zones Act (1990)
This law’s significance comes not from its passage, but from its being declared unconstitutional. In United States v Lopez (1995) (Alfonso Lopez, Jr. was a 12th grade student at Edison High School in San Antonio, Texas. On March 10, 1992 he carried a concealed .38 caliber revolver, along with five cartridges, into the school. He was confronted by school authorities and admitted to having the weapon. Eventually he was charged with violation of the federal Gun-Free School Zones Act of 1990 (the "Act") Government argued that guns in school would lead to violent crimes and inhibit learning and since schools affected “interstate” commerce economically, they could regulate them. Court looked at question, “if the federal government could regulate any activity that lead to violent crimes and economic commerce, where would it end?” The Supreme Court threw out the law as an unconstitutional exercise of power under the Constitution’s Commerce Clause, thus curbing the long-exercised federal power to regulate interstate commerce Possession of a gun near school is not an economic activity that has a substantial effect on interstate commerce. “A law prohibiting guns near schools is a criminal statute that does not relate to commerce or any sort of economic activity..”
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So is Federal or State Government Stronger?
Federal Government - there are more strings for money now
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AP Free Response Question
1. Cooperative federalism is a term often used to describe the complex fiscal relationship between the national and state governments. In your essay, do the following: Discuss the concept of categorical grants Explain an advantage and a disadvantage of categorical grants Discuss the concept of block grants Explain an advantage and a disadvantage of block grants.
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AP Free Response Question
A. Define cooperative federalism as it applies to the United States today. B. Discuss ways that the federal government financially links itself to the states. C. Select one of the following policy areas and explain why a state may not wish to accept federal funding to help support that concern. Education Highways Disabled Americans
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