GovernmentGovernment►► How big is itHow big is it►► What is it (fed-state-local etc.)What is it (fed-state-local etc.)►► What does it doWhat does it do►► How does it do itHow does it do it

Important Terms / Concepts / Topics► Define federalism► Federal, confederate, unitary► U.S. Constitution – national supremacy, privileges and Immunities, Full Faith and Credit► Primary state policy areas► Delegated, concurrent, reserved powers► Recent Federalism changes including: Great Society, Devolution, LBJ, Reagan► Fiscal federalism: block and categorical grants► Meaning of marble cake versus layer cake federalism► Define: Preemption, Mandates, Picket fence federalism, Interstate compacts

►► Federalism – Federalism – ►► there is not “a”there is not “a”

government.government.

Federalism:Federalism:National and State GovernmentsNational and State Governments

►► Federalism – what is itFederalism – what is it►► Why – reasons for itWhy – reasons for it

►► Evolution and Fiscal FederalismEvolution and Fiscal Federalism►► Federalism and ManagementFederalism and Management

►► Federalism: Federalism: a legal division of authority between a legal division of authority between the federal government and state the federal government and state governments.governments.

National – State (Regional) Relationships

► Unitary► Federal► Confederate

UnitaryUnitarySOME Unitary GovernmentsSOME Unitary Governments

ConfederationConfederationConfederate GovernmentsConfederate Governments

FederalFederalSOME Federal GovernmentsSOME Federal Governments

Why Federalism?Why Federalism?►► Founders FacedFounders Faced Little national identity – state/colony focusLittle national identity – state/colony focus Little national travel or communicationLittle national travel or communication Fear of far-away powerFear of far-away power►► First choice was a confederacyFirst choice was a confederacy

Provided another control on power of new national Provided another control on power of new national government over and above separation of powers / checks &government over and above separation of powers / checks & balancesbalances

►► The Constitution may have never been ratified if the The Constitution may have never been ratified if the Framers had pushed for a unitary system. Framers had pushed for a unitary system.

Federalism was a compromise, allowing the states to Federalism was a compromise, allowing the states to maintain their independence.maintain their independence.

“Look, the American people don’t want to be bossed around by federal bureaucrats. They want to be bossed around by

state bureaucrats”The European UnionThe European Union

►► Council of the EUCouncil of the EU

►► European ParliamentEuropean Parliament

►► The CommissionThe Commission

►► The Court of JusticeThe Court of Justice

►► The “Euro”The “Euro”Federalism – What is it?Federalism – What is it?

Federalism is Federal-State ONLYFederalism is Federal-State ONLY

►► National Supremacy Clause, Article 6, National Supremacy Clause, Article 6, Clause 2:Clause 2:

►► The laws of the United States which shall be made in The laws of the United States which shall be made in pursuance (of powers delegated to federal government), andpursuance (of powers delegated to federal government), and all treaties made . . . . under the authority of the United all treaties made . . . . under the authority of the United States, shall be the supreme law of the land; and the judges States, shall be the supreme law of the land; and the judges in every state shall be bound thereby, any thing in the in every state shall be bound thereby, any thing in the

Constitution or laws of any state to the contrary Constitution or laws of any state to the contrary notwithstanding. notwithstanding.

State to StateState to State►► Privileges and Immunities, Article 4, Privileges and Immunities, Article 4, Section 2, Clause 1:Section 2, Clause 1:

►► “The Citizens of each State shall be entitled to “The Citizens of each State shall be entitled to all Privileges and Immunities of Citizens in the all Privileges and Immunities of Citizens in the several States.” several States.”

State to StateState to State►► Full Faith and Credit, Article 4, SectionFull Faith and Credit, Article 4, Section 1:1:►► ““ Full Faith and Credit shall be given in each Full Faith and Credit shall be given in each State to the public Acts, Records, and judicial State to the public Acts, Records, and judicial Proceedings of every other State.” And the CongressProceedings of every other State.” And the Congress may by general Laws prescribe the Manner in which may by general Laws prescribe the Manner in which such Acts, Records and Proceedings shall be proved, such Acts, Records and Proceedings shall be proved, and the Effect thereof.and the Effect thereof.

Primary State PowersPrimary State Powers►► Exist, but are not spelled out anywhereExist, but are not spelled out anywhere►► Amendment #10Amendment #10 “The powers not delegated to the United States by the “The powers not delegated to the United States by the Constitution , nor prohibited by it to the States, are reserved Constitution , nor prohibited by it to the States, are reserved to the States respectively, or to the people.”to the States respectively, or to the people.”►► Some claim this is a meaningless truism: Some claim this is a meaningless truism: States have whatever power the federal government States have whatever power the federal government does not takedoes not take

►► Protection of state power is partially Protection of state power is partially constitutionalconstitutional►► But more importantly politicalBut more importantly political

The U.S. Senate represents the statesThe U.S. Senate represents the states House members are selected by stateHouse members are selected by state

Primary State Policy AreasPrimary State Policy AreasLiberal to Conservative by StateLiberal to Conservative by StateState Laws on Concealed HandgunsState Laws on Concealed Handguns

Executions by state: 1976-2005Executions by state: 1976-2005

Different Policies--EducationDifferent Policies--EducationState grades on Abortion Accessibility from NOW (SocialState grades on Abortion Accessibility from NOW (Social

Conservatives Reverse: F = A)Conservatives Reverse: F = A)Evolution of FederalismEvolution of Federalism

►► State-centered, @ 1789-1865State-centered, @ 1789-1865►► Dual, @ 1865-1913Dual, @ 1865-1913►► Cooperative, @ 1913-1964Cooperative, @ 1913-1964►► Centralized, @ 1964-1980Centralized, @ 1964-1980►► Devolution or New Federalism, @1980-?Devolution or New Federalism, @1980-?

Changes to federalism stem fromChanges to federalism stem fromFederalism – Original DesignFederalism – Original Design

►► Governing powers divided intoGoverning powers divided into DelegatedDelegated ConcurrentConcurrent ReservedReserved

Delegated, Concurrent, ReservedDelegated, Concurrent, Reserved

The Original Design of FederalismThe Original Design of FederalismThe Original Design of FederalismThe Original Design of Federalism

State centered @ 1789-1865State centered @ 1789-1865

Almost all important decisions made at state Almost all important decisions made at state levellevel

Power of national government unclearPower of national government unclear

Chief Justice John Marshall, 1801–1835Chief Justice John Marshall, 1801–1835►► Marbury v. MadisonMarbury v. Madison, 1803, 1803►► McCulloch v. MarylandMcCulloch v. Maryland, 1818, 1818

–used Constitution’s necessary–used Constitution’s necessaryand proper clauseand proper clause

►► His opinions helped to weaken states’ rights.His opinions helped to weaken states’ rights.McCulloch v. MarylandMcCulloch v. Maryland (1819) (1819)

“Let the end be legitimate, let it be within the scope of the Constitution, and all“Let the end be legitimate, let it be within the scope of the Constitution, and all means which are appropriate, which are plainly adapted to that end, which are notmeans which are appropriate, which are plainly adapted to that end, which are not

prohibited, but consist with the letter and spirit of the Constitution, areprohibited, but consist with the letter and spirit of the Constitution, are constitutional.”constitutional.”

“The power to tax involves the power to destroy…If the right of the States to tax the“The power to tax involves the power to destroy…If the right of the States to tax the means employed by the general government be conceded, the declaration that themeans employed by the general government be conceded, the declaration that the Constitution, and the laws made in pursuance thereof, shall be the supreme law ofConstitution, and the laws made in pursuance thereof, shall be the supreme law of

the land, is empty and unmeaning declamation.”the land, is empty and unmeaning declamation.”

Evolution of FederalismEvolution of Federalism►► Doctrine of NullificationDoctrine of Nullification Each state could declare any laws or actions of the Each state could declare any laws or actions of the national government “null and void.”national government “null and void.”

►► Doctrine of SecessionDoctrine of Secession States could choose to withdraw from the United StatesStates could choose to withdraw from the United States if they wanted. if they wanted. Used by the Confederate States in the Civil War.Used by the Confederate States in the Civil War.

Dual Federalism , @ 1865-1913Dual Federalism , @ 1865-1913Evolution of FederalismEvolution of Federalism

“Dual Federalism”“Dual Federalism”

1868 to 19131868 to 1913

In this phase, the national government narrowly In this phase, the national government narrowly interpreted its delegated powers and the states interpreted its delegated powers and the states

continued to decide most domestic policy issues.continued to decide most domestic policy issues.

►► Cooperative, @ 1913-1964Cooperative, @ 1913-1964 Federal government adopts an income tax, 1913, Federal government adopts an income tax, 1913, amendment #16amendment #16 Direct election of us Senators, 1913, amendment # 17Direct election of us Senators, 1913, amendment # 17►► Senators now represented people, not state governmentsSenators now represented people, not state governments Industrial revolution created a national economy vs. Industrial revolution created a national economy vs. prior regional economiesprior regional economies WWI, WWII, Cold War all focused attention on national WWI, WWII, Cold War all focused attention on national governmentgovernment National programs due to Great Depression National programs due to Great Depression

Cooperative – Cont.Cooperative – Cont.►► With fed’s resources from income tax was able With fed’s resources from income tax was able to assist states suffering from the depressionto assist states suffering from the depression►► Grants-in-aidGrants-in-aid Grants from one level of government to anotherGrants from one level of government to another At this time mostly block grantsAt this time mostly block grants►► Block = given for very broad purposesBlock = given for very broad purposes►► E.g. education in generalE.g. education in general►► States could decide how to spend as long as somehow related to States could decide how to spend as long as somehow related to educationeducation

Centralized Federalism, @ 1964-1980Centralized Federalism, @ 1964-1980►► Lyndon Baines Johnson Lyndon Baines Johnson ►► and The Great Societyand The Great Society

Centralized Federalism, @ 1964-1980Centralized Federalism, @ 1964-1980►► LBJ and Great SocietyLBJ and Great Society►► Fed govt. used grants for its own policy goalsFed govt. used grants for its own policy goals Poverty, pollution, education, urban renewal, consumer Poverty, pollution, education, urban renewal, consumer safetysafety

Centralized Federalism – 2Centralized Federalism – 2►► Why?Why? State malapportionmentState malapportionment Some state senates represented countiesSome state senates represented counties Some lower house districts not redrawn for 50+ yearsSome lower house districts not redrawn for 50+ years Vast growth in cities and suburbs since the end of WWIIVast growth in cities and suburbs since the end of WWII But state legislatures controlled by rural countiesBut state legislatures controlled by rural counties

Centralized Federalism – 3Centralized Federalism – 3Though urban and suburban voters had little impact Though urban and suburban voters had little impact

on state government on state government Their votes were important to U.S. Representatives, Their votes were important to U.S. Representatives,

Senators and Presidential candidatesSenators and Presidential candidates

So Federal elected officials wanted to meet So Federal elected officials wanted to meet constituent needs states were ignoring.constituent needs states were ignoring.

Centralized Federalism – 4Centralized Federalism – 4►► Partly came from Constitution’s grant to the Partly came from Constitution’s grant to the federal government the ability to regulate interstate federal government the ability to regulate interstate commercecommerce Economy is now national rather than localEconomy is now national rather than local

The presidency of Lyndon B. Johnson (1963–1969)The presidency of Lyndon B. Johnson (1963–1969)

►► Johnson’s “Great Society”Johnson’s “Great Society” War on PovertyWar on Poverty

►► Federal funds were directed to states, local Federal funds were directed to states, local government, and a wide variety of social programs. government, and a wide variety of social programs.

Fiscal FederalismFiscal FederalismFiscal Federalism Fiscal Federalism

►► The transfer of funds from one level of The transfer of funds from one level of government to anothergovernment to another►► Federal to state and local is most important, but Federal to state and local is most important, but can also be state to local and local to localcan also be state to local and local to local►► An important source of revenue for state and An important source of revenue for state and local governments. local governments. ►► Federal grants to states come in the form of Federal grants to states come in the form of categorical grants and block grants. categorical grants and block grants.

Federal grants to state and localFederal grants to state and local governmentsgovernments

Percent of State and Local funds fromPercent of State and Local funds from federal grantsfederal grants

►► Grants-in-aid deal with inequities and Grants-in-aid deal with inequities and inefficiencies in the allocation of resources.inefficiencies in the allocation of resources. They can be used to prompt jurisdictions to deal with They can be used to prompt jurisdictions to deal with problems such as pollution that they might not otherwise problems such as pollution that they might not otherwise address on their own. address on their own. ►► They also foster experimentation and serve as They also foster experimentation and serve as incentives to provide more efficient and effective incentives to provide more efficient and effective ways to deliver services and address problems.ways to deliver services and address problems.

Purposes of Federal Grants to State andPurposes of Federal Grants to State and Local GovernmentsLocal Governments

Devolution / New Federalism, 1980 -- PresentDevolution / New Federalism, 1980 -- Present

►► States changed dramatically after 1960sStates changed dramatically after 1960s Supreme Court reapportionment decisionsSupreme Court reapportionment decisions Strengthened governorshipsStrengthened governorships More professionalized legislatures in some statesMore professionalized legislatures in some states►► States complained about categorical grants tyingStates complained about categorical grants tying their handstheir hands►► Presidents from Carter to G.W. Bush (excepting Presidents from Carter to G.W. Bush (excepting Bush #1), were former governors.Bush #1), were former governors.

Devolution -- 2Devolution -- 2►► Federal government returned responsibility for Federal government returned responsibility for some programs to the statessome programs to the states E.g., Eliminate AFDC, have states create “workfair” E.g., Eliminate AFDC, have states create “workfair” requirementsrequirements►► Sometimes with federal funding assistance, but Sometimes with federal funding assistance, but state managementstate management E.g., Medicaid, fed sets basics, many states add E.g., Medicaid, fed sets basics, many states add features on topfeatures on top

►► Ronald Reagan sought to return more power and Ronald Reagan sought to return more power and responsibility to the statesresponsibility to the states

►► “Government is not the solution; it’s the problem”“Government is not the solution; it’s the problem”-Ronald Reagan-Ronald Reagan

Supreme Court and FederalismSupreme Court and Federalism► Beginning in 1995, justices interested in granting more deference to state authority gained a slim five-to-four majority in the Supreme Court.► United States v. Lopez (1995)► Printz v. United States (1997)► United States v. Morrison (2000)

But . . . . . Federalism issues are oftenBut . . . . . Federalism issues are often political issuespolitical issues

How Congress Set a How Congress Set a National Drinking AgeNational Drinking Age

The minimum drinking age became a national issue as aThe minimum drinking age became a national issue as a result of emotional appeals by groups such as Mothersresult of emotional appeals by groups such as Mothers

Against Drunk DrivingAgainst Drunk DrivingProposing Constitutional AmendmentProposing Constitutional Amendment

on Marriageon Marriage

ManagementManagement

9/11: President Bush and with New York City9/11: President Bush and with New York City Police and Fire workers.Police and Fire workers.

1963: Eisenhower orders federal troops to1963: Eisenhower orders federal troops to desegregate Mississippi schools. Governor Georgedesegregate Mississippi schools. Governor George

Wallace bars the door.Wallace bars the door.Katrina and New OrleansKatrina and New Orleans

Louisiana Governor Blanco, FEMA DirectorLouisiana Governor Blanco, FEMA Director Michael BrownMichael Brown

And where was Mayor Ray Nagin inAnd where was Mayor Ray Nagin in these negotiations?these negotiations?

PreemptionPreemptionPreemption TypesPreemption Types

MANDATESMANDATESUnfunded MandatesUnfunded Mandates

Mandates►► Age Discrimination Act, 1986Age Discrimination Act, 1986►► Asbestos Hazard Emergency Act, 1986Asbestos Hazard Emergency Act, 1986►► Safe Drinking Water Act, 1986Safe Drinking Water Act, 1986►► Clean Air Act, 1990Clean Air Act, 1990►► Americans with Disabilities Act, 1990Americans with Disabilities Act, 1990►► No Child Left Behind, 1993No Child Left Behind, 1993

Picket Fence FederalismPicket Fence Federalism

Percent of Federally Owned Land-WestPercent of Federally Owned Land-WestPercent of Federally Owned Land-EastPercent of Federally Owned Land-East

Native American Peoples:Native American Peoples:Reservations in the United StatesReservations in the United States

Relations with Indian NationsRelations with Indian Nations

Interstate CompactInterstate CompactColorado River CompactColorado River Compact

Important Terms / Concepts / Topics► Define federalism► Federal, confederate, unitary► U.S. Constitution – national supremacy, privileges and Immunities, Full Faith and Credit► Primary state policy areas► Delegated, concurrent, reserved powers► Recent Federalism changes including: Great Society, Devolution, LBJ, Reagan► Fiscal federalism: block and categorical grants► Meaning of marble cake versus layer cake federalism► Define: Preemption, Mandates, Picket fence federalism, Interstate compacts

The constitutional provision which prohibitsThe constitutional provision which prohibits states from discriminating against citizens ofstates from discriminating against citizens of

other states is known as:other states is known as: ►► AA intergovernmental powers. intergovernmental powers. ►► BB the elastic clause. the elastic clause. ►► CC full faith and credit. full faith and credit. ►► DD privileges and immunities. privileges and immunities. ►► EE extradition. extradition.

TRUE OR FALSE?TRUE OR FALSE?►► The supremacy clause of the Constitution The supremacy clause of the Constitution mandates that state laws supersede national mandates that state laws supersede national laws.laws.

TRUE OR FALSE?TRUE OR FALSE?►► Concurrent powers are those exercised by Concurrent powers are those exercised by both the states and national government.both the states and national government.

Which constitutional clause states that eachWhich constitutional clause states that each state must recognize the legal actions state must recognize the legal actions –– such such as marriages and drivers licenses as marriages and drivers licenses –– of other of other

states?states?►► A.A. The necessary and proper clauseThe necessary and proper clause►► BB The national supremacy clauseThe national supremacy clause

►► C.C. The full faith and credit clauseThe full faith and credit clause►► D.D. The privileges and immunities clauseThe privileges and immunities clause►► E.E. The interstate commerce clause The interstate commerce clause

TRUE OR FALSE?TRUE OR FALSE?►► Federal grants to the states to be used for Federal grants to the states to be used for general rather than specific activities are calledgeneral rather than specific activities are called block grants. block grants.

TRUE OR FALSE?TRUE OR FALSE?►► Ronald Reagan primary emphasis as Ronald Reagan primary emphasis as president was to increase the importance of president was to increase the importance of the national government at the expense of the national government at the expense of decreasing the importance of the states.decreasing the importance of the states.

TRUE OR FALSE?TRUE OR FALSE?►► It is the national government, not the It is the national government, not the states, that is in charge of marriage and states, that is in charge of marriage and divorce laws.divorce laws.

Which level of government spends the most onWhich level of government spends the most on elementary and secondary education?elementary and secondary education?

►► a. State governmenta. State government►► b. The federal governmentb. The federal government►► c. Local governmentc. Local government►► d. Federal agenciesd. Federal agencies

►► Marble cake federalism views the actions of the Marble cake federalism views the actions of the federal, state, and local governments as clearly federal, state, and local governments as clearly distinct.distinct.

►► Federal moneys given to a state as a block grantFederal moneys given to a state as a block grant will most likely be used to pursue state goals rather will most likely be used to pursue state goals rather than federal goals. than federal goals.

►► Devolution is the transfer of power or authority Devolution is the transfer of power or authority from state governments to the federal government from state governments to the federal government

The distribution of funds from the nationalThe distribution of funds from the national government to state and local governments isgovernment to state and local governments is

referred to asreferred to as ►► a. a. dual federalism.dual federalism.►► b. b. direct federalism.direct federalism.►► c. c. cooperative federalism.cooperative federalism.►► d.d. fiscal federalism fiscal federalism

A _________________ is a regulation, imposed by oneA _________________ is a regulation, imposed by one government on another, that requires the receivinggovernment on another, that requires the receiving government to implement certain goals and/or meetgovernment to implement certain goals and/or meet

certain standards.certain standards. a. a. crosscutting requirementcrosscutting requirementb. b. mandatemandatec. c. partial preemptionpartial preemptiond.d. severance taxseverance tax

Lyndon Johnson's antipoverty initiatives in the areasLyndon Johnson's antipoverty initiatives in the areas of housing, job training, medical assistance, etc.,of housing, job training, medical assistance, etc.,

were in the form ofwere in the form of ►► AA block grants. block grants. ►► BB land grantsland grants►► CC tax breaks for the states tax breaks for the states ►► DD categorical grants. categorical grants. ►► EE Unfunded mandatesUnfunded mandates

Devolution is:Devolution is:►► AA the return of governmental responsibilities to the return of governmental responsibilities to state and local governments. state and local governments. ►► BB a federal regulation that appropriates funds to a federal regulation that appropriates funds to state and local governments. state and local governments. ►► CC the return of governmental responsibilities to the return of governmental responsibilities to the federal government. the federal government.

►► DD a federal regulation that imposes burdens on a federal regulation that imposes burdens on state and local governments without state and local governments without appropriating enough money to cover costs. appropriating enough money to cover costs.

What is a federal structure? How does it What is a federal structure? How does it differ from confederate and unitary ones?differ from confederate and unitary ones?

What are some of the stages of federalism?What are some of the stages of federalism?What is meant by inter-governmental grants?What is meant by inter-governmental grants?   What is What is the difference between a block and a categorical grant?the difference between a block and a categorical grant?What are the National Supremacy, Privileges andWhat are the National Supremacy, Privileges and Immunities, and Full Faith and Credit Clauses?Immunities, and Full Faith and Credit Clauses?

What is New Federalism (or devolution) and withWhat is New Federalism (or devolution) and with what president is it most closely associated?what president is it most closely associated?

National Supremacy, Privileges and Immunities, FullNational Supremacy, Privileges and Immunities, Full Faith and CreditFaith and Credit

Marble Cake vs. Layer Cake FederalismMarble Cake vs. Layer Cake Federalism

Delegated, Concurrent, and Reserved Government Delegated, Concurrent, and Reserved Government PowersPowers

Federal vs. Confederate vs. UnitaryFederal vs. Confederate vs. UnitaryFiscal Federalism, Block vs. Categorical GrantsFiscal Federalism, Block vs. Categorical Grants

LBJ, Reagan, Great Society, DevolutionLBJ, Reagan, Great Society, Devolution

State vs. Federal vs. Local policy areasState vs. Federal vs. Local policy areasPreemption and Mandates Preemption and Mandates