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FEDERALISM UNIT 4 DEFINING FEDERALISM • WHAT IS FEDERALISM? • FEDERALISM: A WAY OF ORGANIZING A NATION SO THAT TWO OR MORE LEVELS OF GOVERNMENT HAVE FORMAL AUTHORITY OVER THE LAND AND PEOPLE • UNITARY GOVERNMENTS: A WAY OF ORGANIZING A NATION SO THAT ALL POWER RESIDES IN THE CENTRAL GOVERNMENT • CONFEDERATION: THE UNITED NATIONS IS A MODERN EXAMPLE. • INTERGOVERNMENTAL RELATIONS: THE WORKINGS OF THE FEDERAL SYSTEM- THE ENTIRE SET OF INTERACTIONS AMONG NATIONAL, STATE AND LOCAL GOVERNMENTS THE ROOTS OF THE FEDERAL SYSTEM THE THREE MAJOR ARGUMENTS FOR FEDERALISM ARE: 1. THE PREVENTION OF TYRANNY; 2. THE PROVISION FOR INCREASED PARTICIPATION IN POLITICS; 3. THE USE OF THE STATES AS TESTING GROUNDS OR LABORATORIES FOR NEW POLICIES AND PROGRAMS. DEFINING FEDERALISM DEFINING FEDERALISM • WHY IS FEDERALISM SO IMPORTANT? • DECENTRALIZES OUR POLITICS • MORE OPPORTUNITIES TO PARTICIPATE • DECENTRALIZES OUR POLICIES • FEDERAL AND STATE GOVERNMENTS HANDLE DIFFERENT PROBLEMS. • STATES REGULATE DRINKING AGES, MARRIAGE, AND SPEED LIMITS. • STATES CAN SOLVE THE SAME PROBLEM IN DIFFERENT WAYS AND TEND TO BE POLICY INNOVATORS. THE CONSTITUTIONAL BASIS OF FEDERALISM • THE DIVISION OF POWER • SUPREMACY CLAUSE: ARTICLE VI OF THE CONSTITUTION STATES THE FOLLOWING ARE SUPREME: • THE U.S. CONSTITUTION • LAWS OF CONGRESS • TREATIES • YET, NATIONAL GOVERNMENT CANNOT USURP STATE POWERS. • TENTH AMENDMENT THE CONSTITUTIONAL BASIS OF FEDERALISM THE CONSTITUTIONAL BASIS OF FEDERALISM • ESTABLISHING NATIONAL SUPREMACY • IMPLIED AND ENUMERATED POWERS • MCCULLOCH V. MARYLAND (1819) • COMMERCE POWERS • GIBBONS V. OGDEN (1824) • THE CIVIL WAR (1861-1865) • THE STRUGGLE FOR RACIAL EQUALITY • BROWN V. BOARD OF EDUCATION (1954) POWERS OF THE NATIONAL GOVERNMENT • DELEGATED POWERS: HAS ONLY THE POWERS GRANTED BY THE CONSTITUTION. • EXPRESSED POWERS: ARE DELEGATED TO THE NATIONAL GOVERNMENT; EXPRESSED IN THE CONSTITUTION. (ALSO KNOWN AS ENUMERATED POWERS.) POWERS OF THE NATIONAL GOVERNMENT • IMPLIED POWERS: ARE NOT EXPRESSLY STATED IN THE CONSTITUTION BUT ARE SUGGESTED. • INHERENT POWERS: BELONG TO THE NATIONAL GOVERNMENT BECAUSE IT IS THE GOVERNMENT OF A SOVEREIGN STATE WITHIN THE WORLD COMMUNITY. MCCULLOCH V. MARYLAND (1819) • MCCULLOCH WAS THE FIRST MAJOR DECISION BY THE SUPREME COURT UNDER CHIEF JUSTICE JOHN MARSHALL ABOUT THE RELATIONSHIP BETWEEN THE STATES AND THE NATIONAL GOVERNMENT. • THE COURT UPHELD THE POWER OF THE NATIONAL GOVERNMENT AND DENIED THE RIGHT OF A STATE TO TAX THE BANK. • THE COURT’S BROAD INTERPRETATION OF THE NECESSARY AND PROPER CLAUSE PAVED THE WAY FOR LATER RULINGS UPHOLDING EXPANSIVE FEDERAL POWERS. GIBBONS V. OGDEN (1824) • THE GIBBONS CASE CENTERED ON THE CONFLICT BETWEEN THE STATES AND THE POWERS OF CONGRESS. • COULD NEW YORK GRANT A MONOPOLY CONCESSION ON THE NAVIGATION OF THE HUDSON RIVER? THE HUDSON RIVER FORMS PART OF THE BORDER BETWEEN NEW YORK AND NEW JERSEY AND THE U.S. CONGRESS ALSO LICENSED A SHIP TO SAIL THE HUDSON. • THE MAIN CONSTITUTIONAL QUESTION IN GIBBONS WAS ABOUT THE SCOPE OF CONGRESS' AUTHORITY UNDER THE COMMERCE CLAUSE. • IN GIBBONS, THE COURT UPHELD BROAD CONGRESSIONAL POWER OVER INTERSTATE COMMERCE. THE CONSTITUTIONAL BASIS OF FEDERALISM • STATES’ OBLIGATIONS TO EACH OTHER • FULL FAITH AND CREDIT: EACH STATE MUST RECOGNIZE OFFICIAL DOCUMENTS AND JUDGMENTS RENDERED BY OTHER STATES. • ARTICLE IV, SECTION I OF CONSTITUTION • PRIVILEGES AND IMMUNITIES: CITIZENS OF EACH STATE HAVE PRIVILEGES OF CITIZENS OF OTHER STATES. • ARTICLE IV, SECTION 2 OF CONSTITUTION • EXTRADITION: STATES MUST RETURN A PERSON CHARGED WITH A CRIME IN ANOTHER STATE TO THAT STATE FOR PUNISHMENT. DAY 2 RELATIONS AMONG THE STATES • THE FRAMERS WANTED A SINGLE COUNTRY, NOT THIRTEEN SQUABBLING SEMI-COUNTRIES. • ARTICLE IV REQUIRES STATES TO GIVE “FULL FAITH AND CREDIT” TO EACH OTHERS’ LAWS. • STATES ARE ALSO REQUIRED TO EXTRADITE CRIMINALS IF ASKED BY ANOTHER STATE. INTERGOVERNMENTAL RELATIONS TODAY • DUAL FEDERALISM • DEFINITION: A SYSTEM OF GOVERNMENT IN WHICH BOTH THE STATES AND THE NATIONAL GOVERNMENT REMAIN SUPREME WITHIN THEIR OWN SPHERES, EACH RESPONSIBLE FOR SOME POLICIES • LIKE A LAYER CAKE • NARROWLY INTERPRETED POWERS OF FEDERAL GOVERNMENT • ENDED IN THE 1930S COOPERATIVE FEDERALISM • PRIOR TO THE 1930S, MANY SCHOLARS USED THE ANALOGY OF A LAYER CAKE TO DESCRIBE (DUAL) FEDERALISM. • EACH LAYER HAD CLEARLY DEFINED POWERS AND RESPONSIBILITIES. • AFTER THE NEW DEAL, THE ANALOGY OF A MARBLE CAKE SEEMED MORE APPROPRIATE BECAUSE THE LINES OF AUTHORITY WERE MUCH MORE MIXED. • THIS MARBLE CAKE FEDERALISM IS OFTEN CALLED COOPERATIVE FEDERALISM AND HAS A MUCH MORE POWERFUL NATIONAL GOVERNMENT. • STATES HAVE A COOPERATIVE ROLE, AS DID MANY CITIES CAKE INTERGOVERNMENTAL RELATIONS TODAY • FISCAL FEDERALISM • DEFINITION: THE PATTERN OF SPENDING, TAXING, AND PROVIDING GRANTS IN THE FEDERAL SYSTEM • THE CORNERSTONE OF THE NATIONAL GOVERNMENT’S RELATIONS WITH STATE AND LOCAL GOVERNMENTS INTERGOVERNMENTAL RELATIONS TODAY • FISCAL FEDERALISM (CONTINUED) • THE GRANT SYSTEM: DISTRIBUTING THE FEDERAL PIE • CATEGORICAL GRANTS: FEDERAL GRANTS THAT CAN BE USED FOR SPECIFIC PURPOSES; GRANTS WITH STRINGS ATTACHED • PROJECT GRANTS: BASED ON MERIT • FORMULA GRANTS: AMOUNT VARIES BASED ON FORMULAS • BLOCK GRANTS: FEDERAL GRANTS GIVEN MORE OR LESS AUTOMATICALLY TO SUPPORT BROAD PROGRAMS • GRANTS ARE GIVEN TO STATES AND LOCAL GOVERNMENTS. INTERGOVERNMENTAL RELATIONS TODAY • FISCAL FEDERALISM (CONTINUED) • THE SCRAMBLE FOR FEDERAL DOLLARS • $460 BILLION IN GRANTS EVERY YEAR • GRANT DISTRIBUTION FOLLOWS UNIVERSALISM— A LITTLE SOMETHING FOR EVERYBODY. • THE MANDATE BLUES • MANDATES DIRECT STATES OR LOCAL GOVERNMENTS TO COMPLY WITH FEDERAL RULES UNDER THREAT OF PENALTIES OR AS A CONDITION OF RECEIPT OF A FEDERAL GRANT. • UNFUNDED MANDATES CREATIVE FEDERALISM • FEDERAL GRANTS: ALLOCATION OF FEDERAL MONEY TO THE STATES FOR A SPECIFIC PURPOSE. • FEDERAL LEADERSHIP SAW THESE GRANTS AS A WAY TO COMPEL INDIVIDUAL STATES TO BEHAVE IN WAYS DESIRED BY THE NATIONAL GOVERNMENT. IF THE STATES REFUSED TO COOPERATE WITH THE FEDERAL GOVERNMENT, IT WOULD WITHHOLD FUNDS. MANDATES • MANDATES DIRECT STATES OR LOCAL GOVERNMENTS TO COMPLY WITH FEDERAL RULES UNDER THREAT OF PENALTIES OR AS A CONDITION OF RECEIPT OF A FEDERAL GRANT. • IN THE UNITED STATES, WHEN THE FEDERAL GOVERNMENT IMPOSES NEW REGULATIONS OR EXPECTATIONS ON STATE OR PRIVATE ENTITIES, THEY HAVE ENACTED WHAT ARE KNOWN AS FEDERAL MANDATES. THESE MANDATES TEND TO BE DONE IN THE INTEREST OF PUBLIC SAFETY, EQUALITY, OR FAIRNESS. • ROOSEVELTS’ NEW DEAL UNFUNDED MANDATES • WHEN THE GOVERNMENT IMPOSES NEW REGULATIONS OR EXPECTATIONS, BUT DOESN'T PROVIDE FINANCIAL ASSISTANCE OR RESOURCES, IT IS WHAT IS KNOWN AS AN UNFUNDED MANDATE. • UNFUNDED MANDATES ARE REQUIREMENTS ON STATE & LOCAL GOVERNMENTS - BUT NO MONEY EXAMPLES OF UNFUNDED MANDATES • VOTING RIGHTS ACT OF 1965 • REQUIRED CERTAIN STATES TO CHANGE THE WAY THAT THEY OPERATED THEIR VOTING PROCESS, IN ORDER TO ENSURE THAT AFRICAN AMERICANS WERE BEING GIVEN THE OPPORTUNITY TO VOTE • NATIONAL MINIMUM DRINKING AGE ACT OF 1984 • CONGRESS IMPOSED NEW LAWS ON THE INDIVIDUAL STATES THAT PROHIBITED THE SALE OF ALCOHOL TO MINORS. THIS REQUIRED STATES TO PAY OUT OF THEIR OWN BUDGET FOR THE CREATION OF NEW ADVERTISING MATERIALS, LEGAL PROCESSES, AND LICENSING FOR RETAILERS UNFUNDED MANDATE EXAMPLES • U.S. FLAMMABLE FABRICS ACT IN 1953 • CLOTHING MANUFACTURERS WERE REQUIRED TO CHANGE THE MATERIALS AND PROCESSES USED TO MAKE CLOTHING. FEDERAL GRANTS TO STATE AND LOCAL GOVERNMENTS (FEDERAL FISCAL YEAR 2006) UNDERSTANDING FEDERALISM • ADVANTAGES FOR DEMOCRACY • INCREASES ACCESS TO GOVERNMENT • LOCAL PROBLEMS CAN BE SOLVED LOCALLY • HARD FOR POLITICAL PARTIES OR INTEREST GROUPS TO DOMINATE ALL POLITICS • DISADVANTAGES FOR DEMOCRACY • STATES HAVE DIFFERENT LEVELS OF SERVICE • LOCAL INTEREST CAN COUNTERACT NATIONAL INTERESTS • TOO MANY LEVELS OF GOVERNMENT AND TOO MUCH MONEY UNDERSTANDING FEDERALISM UNDERSTANDING FEDERALISM • FEDERALISM AND THE SCOPE OF GOVERNMENT • WHAT SHOULD THE SCOPE OF NATIONAL GOVERNMENT BE RELATIVE TO THE STATES? • NATIONAL POWER INCREASED WITH INDUSTRIALIZATION, EXPANSION OF INDIVIDUAL RIGHTS, AND SOCIAL SERVICES. • MOST PROBLEMS REQUIRE RESOURCES AFFORDED TO THE NATIONAL, NOT STATE GOVERNMENTS. THREE CATEGORIES OF POWERS • ENUMERATED POWERS: GIVEN TO NATIONAL GOVERNMENT EXCLUSIVELY; INCLUDE POWER TO PRINT MONEY, DECLARE WAR, MAKE TREATIES, CONDUCT FOREIGN AFFAIRS (ARTICLE 1, SECTION 8) • RESERVED POWERS: GIVEN TO STATES EXCLUSIVELY; INCLUDE POWER TO ISSUE LICENSES AND TO REGULATE COMMERCE WHOLLY WITHIN A STATE (10TH AMENDMENT) • CONCURRENT POWERS: SHARED BY BOTH NATIONAL AND STATE GOVERNMENTS; INCLUDE COLLECTING TAXES, BUILDING ROADS, BORROWING MONEY, HAVING COURTS DENIED POWERS • ARTICLE I, SECTION 9 LAYS OUT POWERS DENIED TO THE CENTRAL GOVERNMENT. • FOR EXAMPLE: GIVE PREFERENCE TO PORTS OF ONE STATE OVER ANOTHER • ARTICLE I, SECTION 10 LAYS OUT THE POWERS DENIED TO THE STATES. • FOR EXAMPLE: ENTER INTO TREATIES, ALLIANCES, OR CONFEDERATIONS SUMMARY • AMERICAN FEDERALISM IS A GOVERNMENTAL SYSTEM IN WHICH POWER IS SHARED BETWEEN A CENTRAL GOVERNMENT AND THE 50 STATE GOVERNMENTS. • THE UNITED STATES HAS MOVED FROM DUAL TO COOPERATIVE FEDERALISM; FISCAL FEDERALISM. • FEDERALISM LEADS TO BOTH ADVANTAGES AND DISADVANTAGES TO DEMOCRACY. INDEPENDENT WORK • READ PAGES 105-108 IN THE TEXTBOOK. • DEFINE THE TERMS ON PAGE 105. • ANSWER QUESTIONS 1-4 IN THE TEXTBOOK. READING QUIZ 1. THE MAN BEING LINKED TO THE MISSING UVA STUDENT WAS FOUND IN TEXAS. SENDING HIM BACK TO VA IS AN EXAMPLE OF __________ 2. NAME 1 OF THE 2 EXCEPTIONS TO THE FULL FAITH AND CREDIT CLAUSE. ANSWERS 1. EXTRADITION 2. ONE STATE CANNOT ENFORCE ANOTHER STATE’S CRIMINAL LAWS. FULL FAITH AND CREDIT NEED NOT BE GIVEN TO CERTAIN DIVORCES GRANTED BY ONE STATE TO RESIDENTS OF ANOTHER STATE.