3. Hurricane Katrina
August 29, 2005
Devastating parts of New Orleans,
Mississippi and Alabama
Thousand of citizens were stranded
without electricity, food ,water, health
care, communications, or police
protection
4. Hurricane Katrina
State and local governments are the
first responders to natural disasters
The national government is supposed
to supplement state and local efforts
A standoff between hesitant federal
officials and overwhelmed authorities
deepened the crisis in New Orleans
Chaos reigned as the fractured
division of responsibility meant no one
person or agency was in charge
5. The complications surrounding the
gov’t response to Katrina illustrate the
importance of understanding
American Federalism
The issue was determining the
appropriate federal and state powers
and responsibilities
7. Federalism
The Patient Protection and Affordable
Car Act, also called by critics
“Obamacare”, was signed into law by
president Obama.
Faced a year long battle in Congress
Lead to a lawsuit by states and a
subsequent Supreme Court Case
A prime example of the relationship
between states and the federal
government = federalism
8. Does Federalism
Enhance democracy in the US?
Make the gov’t more responsive to US
citizens?
Make gov’t more complicated?
9. Chapter Outline and
Learning Objectives
Defining Federalism
LO 3.1: Define federalism and explain its
consequences for American politics and
policy.
10. Chapter Outline and
Learning Objectives
The Constitutional Basis of Federalism
LO 3.2: Outline what the Constitution says
about division of power between national
and state governments and states'
obligations to each other and trace the
increasing importance of the national
government.
11. Chapter Outline and
Learning Objectives
Intergovernmental Relations Today
LO 3.3: Characterize the shift from dual to
cooperative federalism and the role of fiscal
federalism in intergovernmental relations
today.
Understanding Federalism
LO 3.4: Assess the impact of federalism on
democratic government and the scope of
government.
12. 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
Not a common method of governing
11 out of 200 nations have a federal system
(Germany, Mexico, Argentina, Canada,
Australia, India, US)
13. Unitary governments: a way of
organizing a nation so that all power
resides in the central government
Most governments govern with this
system
American states have unitary systems
Counties/Townships/Borough – only
have authority granted to them
14. Confederation: The United Nations is
a modern example.
The US began as a confederation –
Articles of Confederation
Very rare form of government
16. What if ????
How would politics and policies be
different in America if there were a
unitary system instead of a federal
system?
Or a confederation instead of a
federal system?
Does the American form of federalism
increase democracy, or does it have a
negative effect on democracy?
17. Defining Federalism
Why Is Federalism So Important?
Decentralizes our politics
• On Election day there are 51 presidential
elections (50 states + DC)
• More opportunities to participate
Decentralizes our policies
• Federal and state governments handle
different problems.
• States regulate Alcohol distribution, marriage,
education and speed limits.
• “Laboratories of Democracy” - States can
solve the same problem in different ways
and tend to be policy innovators.
18. Intergovernmental Relations
The workings of the federal system
The entire set of interactions among
national, state and local governments
Analyzing these relations will be the
subject of this chapter
19. The Constitutional Basis of
Federalism
The Division of Power
National Powers
• Enumerated powers-Spelled out
• Implied
• Inherent
State Powers – Reserved
Concurrent
21. 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
22. The Constitutional Basis of
Federalism
Establishing National Supremacy
Implied and enumerated powers
• McCulloch v. Maryland (1819)
• Elastic Clause
• Key Principles
• Supremacy of the national gov’t over states
• National gov’t has certain implied powers
23. The Constitutional Basis of
Federalism
Commerce Powers
• Based on the enumerated power to “regulate
inter-state commerce”
• Thought of as “deregulating” states
• American courts have spent many years trying to
define commerce
• Gibbons v. Ogden (1824) – Strong central
government was the winner
• Today, commerce not only covers movements of
goods, but also radio/internet/telephone etc.
24. The Constitutional Basis of
Federalism
Key Cases
Wikard v. Filburn, 1942
• Commerce clause upheld to regulate
individuals behavior
United States v. Lopez, 1995
• Supreme Court rules that commerce that
“Federal Gun Free School Zone” not an
appropriate use of commerce clause
25. The Constitutional Basis of
Federalism
The Civil War (1861-1865)
What McCulloch pronounced
Constitutionally, the Civil War did militarily
National government asserted it’s power
26. The Constitutional Basis of
Federalism
The Struggle for Racial Equality
• Brown v. Board of Education (1954)
• The conflict over equality was “settled” in
favor of the Nation government
28. The Constitutional Basis of
Federalism
The Power to Tax and Spend
Congress has the Constitutional power to tax
and spend
Money plays a key role in the federal
government’s relationship with the states.
Congress gives money to the states, for
example, but stipulates how this money
should be used in order to force the states to
cooperate with federal policies.
29. 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 ?, Section I of Constitution
Privileges and Immunities: Citizens of each
state have privileges of citizens of other
states. Exceptions?
• Article ?, Section 2 of Constitution
Extradition: States must return a person
charged with a crime in another state to that
state for punishment.
30. 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 1930’s
31. Intergovernmental Relations
Today
Cooperative Federalism
Definition: a system of government in
which powers and policy assignments
are shared between states and the
national government
Like a marble cake
Shared costs and administration
States follow federal guidelines
33. Intergovernmental Relations Today
Devolution?
Devolution – Transferring
responsibility for policies from the
federal government to state and local
governments.
State and local governments are
mostly responsible for handling crime,
welfare, and education. (Police
Powers)
LO 3.3
To Learning Objectives
34. Intergovernmental Relations
Today
Fiscal Federalism
Definition: the
pattern of
spending, taxing,
and providing
grants in the
federal system; it
is the cornerstone
of the national
government’s
relations with
state and local
governments
36. Intergovernmental Relations
Today
Fiscal Federalism (continued)
The Grant System: Distributing the Federal
Pie (600 Billion)
• Categorical Grants: federal grants that can be used for specific
purposes; grants with strings attached
• Project Grants: based on merit; Money states apply for by
submitting specific project proposals
• 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 & local governments.
• Revenue sharing: grant used in the 1970’s and 1980’s preferred by
states because it came with no strings attached
38. Intergovernmental Relations
Today
Fiscal Federalism (continued)
The Scramble for Federal Dollars
• $460 billion in grants every year
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
39. 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
40. 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.
45. 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.
Hinweis der Redaktion
Lecture Tips and Suggestions for In-Class Activities
Hold an in-class discussion on the following: How would politics and policies be different in America if there were a unitary system instead of a federal system? Or a confederation instead of a federal system?
Lecture Tips and Suggestions for In-Class Activities
Assign the students an essay. In this assignment have students discuss if they think the federalist system influenced the civil rights movement. Would this change have occurred faster in the South if America had a unitary democratic system? Can the students think of any negative effect such a system might have had on the outcome of the civil rights movement?
Lecture Tips and Suggestions for In-Class Activities
Ask students to study the budgets of the local school system, university, or city to determine the various proportions of revenue that the federal, state, and local governments contribute. Would the school district, university, or city benefit from a change in how it is funded?
Assign two groups of students to serve as panels to debate the following question: Does the American form of federalism increase democracy, or does it have a negative effect on democracy?
LO 3.2 Image: Alabama Governor George Wallace failed stand in 1963 to resist integration of the all-white University of Alabama.
LO 3.3 Image: The federal government provided about half of the funds for the Big Dig in Boston.
Lecture Outline
Devolution?
Devolution – Transferring responsibility for policies from the federal government to state and local governments.
Figure 3.1 Fiscal Federalism: Federal Grants to State and Local Governments
There are two types of categorical grants.
Project grants - the most common type of categorical grant; awarded on the basis of competitive applications (such as grants to university professors from the National Science Foundation).
Formula grants - distributed according to a formula; states and local governments automatically receive funds based on a formula developed from factors such as population, per capita income, or percentage of rural population (such as Medicare, Aid for Families with Dependent Children, and public housing).
Block grants - used to support broad programs in areas like community development and social services.
In response to complaints about the cumbersome paperwork and restrictive federal requirements attached to categorical grants, Congress established block grants to support broad programs.
States have discretion in deciding how to spend the money.
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LO 3.3 Image: Federal government often uses grants-in-aid to get states to promote integrate government state and local government departments.