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Chapter 3
- 1. Lecture Slides AMERICAN POLITICS TODAY FIFTH EDITION By Bianco Canon Copyright Ā© 2017, W. W. Norton & Company
- 2. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION American Politics Today Chapter 3 Federalism
- 3. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Federalism
- 4. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Federalism: Sovereign Power ā¢ Federalism: a system of government that divides sovereign power across at least two political units ā¢ Sovereign power: the amount of authority and autonomy given to each unit of government
- 5. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Federalism: State and Federal Powers ā¢ Balancing state and federal powers ā Congress cannot create a national drinking age. ā Congress can withhold federal highway funds from noncompliant states.
- 6. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Federalism: Basics ā¢ Basics of federalism (sharing power) ā Separate powers ā¢ State governments are not responsible for national defense or foreign policy. ā¢ The federal government is not responsible for allowing smoking in restaurants. ā Shared powers ā¢ Both state and federal governments can collect taxes
- 7. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Unitary, Federal, and Confederal Systems ā¢ Unitary: centralized national government ā More common ā Simple division of power ā¢ Federal: national and state governments ā Less common ā Complicated division of power ā¢ Confederal: state governments ā Uncommon ā Ineffective national government
- 8. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Balancing National Power in the Constitution ā¢ Concepts supporting a stronger national government ā Preamble to the Constitution ā Necessary and proper clause ā Supremacy clause ā Enumerated powers
- 9. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Balancing State Power in the Constitution ā¢ Concepts supporting stronger state governments ā Tenth Amendment ā Eleventh Amendment
- 10. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION The Evolving Concept of Federalism: Early 1800s
- 11. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Balancing State-to-State Interactions in the Constitution ā¢ Concepts that support both nationācentric and state-centric perspectives ā Privileges and immunities clause ā Full faith and credit clause
- 12. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION The Evolving Concept of Federalism: The Twenty-First Century
- 13. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Cooperative Federalism
- 14. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Picket Fence Federalism
- 15. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Fiscal Federalism ā¢ Categorical grants ā Money to states with āstrings attachedā ā¢ Block grants ā Money to states where states have discretion
- 16. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Coercive Federalism ā¢ Need for strong national government ā Crises and war ā Violations of civil rights ā¢ Coercive federalism ā Federal preemptions
- 17. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION The States Fight Back ā¢ States have innovated in policy. ā They have advanced both progressive and conservative causes. ā¢ State innovation in policy has led to competitive federalism.
- 18. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Fighting for Statesā Rights: The Role of the Modern Supreme CourtāGun Control
- 19. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Fighting for Statesā Rights: The Role of the Modern Supreme CourtāDrug Enforcement
- 20. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Other Revived Statesā Rights Strategies ā¢ Eleventh Amendment: prevents lawsuits against states ā¢ Fourteenth Amendment: as interpreted, limits āremedial legislationā ā¢ Commerce clause
- 21. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Spending by State
- 22. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Tradeoffs of State Power Benefits ā¢ More policy innovation ā¢ More policy responsiveness ā¢ More pathways to responsiveness ā¢ Checks national tyranny Costs ā¢ Unequal resource distribution ā¢ Unequal civil rights protections ā¢ āRace to the bottomā
- 23. How it works: in theory
- 24. National State Local 1789ā1937 No interactions between the levels of government.
- 25. 1937ātoday Interactions between the levels of government are common.
- 26. Horizontal boards represent different levels of government, and the pickets are policy areas within which coordination happens across those levels. Agriculture Environment Highways Housing Education MedicalCare TaxPolicy National State Local 1960sātoday
- 27. Rational government provides new policy goals. National government pressures or incentivizes state and local governments to act according to new goals. National government uses regulations, mandates, and conditions to pressure states to fall into line with national policy goals. 1970sātoday
- 28. The National Government: Environmental Protection Agency (EPA), Department of the Interior, Department of Energy The State Government: State Department of Natural Resources, State Park Service, State Environmental Protection Agencies The Local Government: City park system, city and county oversight boards for land use policy and zoning How it works: in practice
- 29. In short: The federal government imposes new rules on state and local governments and provides incentives to follow these new rules and goals. Goals such as: increased energy efficiency and independence
- 30. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Public Opinion Poll: Q1 The role of the national government has changed significantly from the Founding era to the present. Do you think the framers of the U.S. Constitution would be pleased with the current balance of power between the national government and state governments? a. yes b. no
- 31. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Public Opinion Poll: Q2 Considering the current distribution of power and authority between the federal government and state and local governments, what do you believe we should do? a. provide the federal government with more power and authority b. provide state and local governments with more power and authority c. maintain the current distribution of power and authority between the federal government and state and local governments
- 32. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Public Opinion Poll: Q3 Which level of government do you believe is best able to protect the liberty, equality, and rights of its citizens? a. state and local government b. federal government
- 33. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Public Opinion Poll: Q4 Do you believe the use of medical marijuana should be decided at the state level or the national level? a. state level b. national level
- 34. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Public Opinion Poll: Q5 Do you feel the federal government or state and local governments are better able to ensure that all children receive a high-quality education? a. federal government b. state and local governments
- 35. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Public Opinion Poll: Q6 In the coming years, do you believe the power and authority of the federal government will increase, remain the same, or decrease? a. increase b. remain the same c. decrease
- 36. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Additional Information Following this slide, you will find additional slides with photos, figures, and captions from the textbook.
- 37. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Federal and State/Local Government Spending, 1946ā2016
- 38. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Federalism: Health Care Reform Supporter
- 39. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Federalism: Green Bay Packers Fans
- 40. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Federalism: Activists for the Disabled Community
- 41. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Federalism: Classroom
- 42. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Federalism: Hurricane Sandy
- 43. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION National and State Responsibilities
- 44. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION The Evolution of Federalism
- 45. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Early Landmark Supreme Court Decisions on Federalism
- 46. Copyright Ā© 2017, W. W. Norton & Company AMERICAN POLITICS TODAY, FIFTH EDITION Recent Important Supreme Court Decisions on Federalism
Editor's Notes
- Should the government require all Americans to have health insurance? While individual Americans disagreed about this question, the states and the federal government also disagreed about the statesā role in implementing the Affordable Care Act.
- Federalism is a system that gives some sovereign power to state governments and some sovereign power to the national government. Because the national government and state governments may have different policy preferences, battles over the balance between federal and state power are inherent in the U.S. federalist system. In 1981, 29 states and the District of Columbia (DC) allowed either 18-year-olds or 19-year-olds to drink some kinds of alcohol. (In some states, people were allowed to drink beer with 3.2% alcohol before they could drink stronger beverages.) In 1984, Congress decided to withhold federal highway funds from states that refused to raise the drinking age to 21. But by 1996, all 50 states and DC had set the drinking age at 21. How did a policy that originally differed by state become a single national policy? And why did the āwinningā policy move in the direction that it did? The answers have to do with federalism.
- Before 1986, young adults who lived in states with a drinking age of 21 drove to nearby states with lower age limits, thus creating what came to be known as āblood borders.ā As these intoxicated teens drove home, thousands were killed in accidents. The group Mothers Against Drunk Driving urged Congress to pass tougher drunk-driving laws, which put Republicans in a bind: while they usually supported āstatesā rightsā to make their own decisions, they also wanted to crack down on drunk driving. In addition, the Twenty-First Amendment gives the states, not the national government, authority over alcohol consumption laws. Nonetheless, persuaded by the effective grass-roots lobbying, Congress began withholding highway funds from states with lower drinking ages. States with a lower drinking age lost 5 percent of their federal highway funds in 1986 and 10 percent each additional year after that. States with lower drinking ages resisted the change and took their case to the Supreme Court. The Supreme Court ruled that Congress did not have the right to create a national drinking age, but it did have the right to āencourageā states to raise their drinking age by withholding federal highway funds from noncompliant states. By 1996, all 50 states had 21 as a drinking age. State differences persisted, however: the legal limit for intoxicated driving ranged from a blood alcohol content (BAC) of 0.05 to 0.1. In 1998, after more lobbying, Congress acted again: passing a law to withhold funds from any state that did not set 0.08 BAC as the standard for Driving While Intoxicated. Today, all states have the 0.08 BAC standard. Thus, while Congress cannot pass national legislation concerning drinking, it has successfully pressured states to change their laws by withholding federal highway funding.
- To see how federalism works in context, letās begin by remembering the basics of federalism: In the United States, the federal and state governments have each have separate powers, and they also share some powers. State governments are not responsible for national defense or foreign policy, while the federal government is not responsible for determining whether people are allowed to smoke in a bar or restaurant. It is important to note that with respect to divided power, we only refer to federal and state governments. Local governments are creatures of the state government and do not have their own powers. Recall that dividing powers between the national government and state governments were central to the Constitutional Convention and even the Civil War. But how do these issues affect you today? Ways in which federal power might affect todayās college student Land-grant university Work-study job Federally guaranteed student loan Pell grant Controversial questions about congressional power Should Congress be able to prevent employer discrimination based on age or disability? Should Congress be able to compel gun bans around public schools? Can Congress set nationwide penalties for violence against women? Underlying question Should governance in the United States be more nation-centered or state-centered?
- Unitary systems are about four times more common than federal systems, largely because they have a simpler power structure and avoid disputes between different levels of government. Though it is less common, an advantage of federalism is that it helps countries deal with ethnic or ideological differences within their populations. For example, Canadaās federal system provides French Canadians with autonomy in Quebec province. In a confederal system, the states have more power than the central government. Though there are historical examples of confederal systems, such as the United States before the ratification of the Constitution or the confederate states during the Civil War, few modern examples of confederal systems exist. The national government under a confederal system is so ineffective and creates so many problems that it is unable to last long term.
- Preamble to the Constitution: The Constitution opens with āWe the People of the United States.ā Compare that to the Articles of Confederation, which open with āWe the undersigned delegates of the states,ā and you can see a first sign that the Founders intended for a less state-centric government under the Constitution than was envisioned in the Articles of Confederation. Necessary and Proper Clause: Article I, Section 8 of the Constitution, the elastic or necessary and proper clause, gives Congress the authority to āmake all Laws which shall be necessary and proper for carrying into Execution of the foregoing Powers.ā While enumerating Congressās powers, the elastic clause also leaves the door open for Congress to āexpand the scope of conflictā as Congress can point to this clause whenever it passes legislation that might not directly relate to the powers enumerated to the Congress. Supremacy Clause: the part of Article VI of the Constitution that states that the Constitution is the āSupreme Law of the Landā and āthe Judges in every State shall be bound thereby, anything in the Constitution or Laws of any State to the contrary notwithstanding.ā Enumerated Powers: those powers given specifically to Congress, such as: Admit new states to the union Declare war Coin money Create and maintain armed forces Regulate commerce with American states and with foreign countries
- Tenth Amendment: āthe 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.ā Often referred to as the āreserve powers clause,ā the Tenth Amendment says that any power not explicitly given to the national government is reserved for the states. Eleventh Amendment: prevents citizens of one state from suing the government of another state; passed in reaction to Chisholm v. Georgia (1793).
- In the early 1800s, the Supreme Court confirmed the national governmentās right to regulate commerce between the states. The state of New York granted a monopoly to a ferry company serving ports in New York and New Jersey, but this was found to interfere with interstate commerce and was therefore subject to federal intervention.
- Jim Obergefell, the plaintiff in the Obergefell v. Hodges Supreme Court case that legalized same-sex marriage nationwide, is backed by supporters of the ruling on the steps of the Texas capitol during a rally on June 29, 2015, in Austin. This ruling shows the power of the supremacy clause, as it struck down laws in 14 states. #LoveWins #Obergefell These clauses support both state and national powers, because while they stitch the fabric of the country together by establishing commonalities across the states, they do so by upholding state sovereignty rather than giving the national government more power. Privileges and immunities (P&I) clause: This clause is part of Article IV of the Constitution requiring that states must treat nonstate residents within their borders as they would treat their own residents. This was intended to promote commerce and travel between the states. Examples of P&I: States cannot deny police protection to visitors to a state. When isnāt this true? Colleges can charge āout-of-state tuitionā to those not from the collegeās state. Only citizens of a state can vote in that stateās elections. To receive a check from the Alaska Permanent Fundāwhich pays people just for being a resident of Alaskaāyou must be a resident who has lived in the state for the entire preceding calendar year. Full faith and credit clause: This clause is part of Article IV of the Constitution requiring that each stateās laws be honored by other states. For example, a driverās license or legal marriage in one state must be recognized across state lines. The Defense of Marriage Act (DOMA) of 1996 allowed states the right to deny the same-sex marriages of another state. However, the Supreme Court struck down this part of DOMA in 2015, saying that marriage is a fundamental right that cannot be denied by the states.
- After the Supreme Court struck down the 1875 Civil Rights Act, southern states were free to impose Jim Crow laws. These state and local laws led to complete racial segregation, even for public drinking fountains.
- Franklin Delano Rooseveltās New Deal shifted more power than ever to the national government. Through major new programs to address the Great Depression, such as the Works Progress Administration construction projects pictured here, the federal government expanded its reach into areas that had been primarily the responsibility of state and local governments.
- Cooperative federalism may be best understood using the metaphor of a picket fence. Cooperation between the national and state governments typically occurs in an orderly way, with clear lines of authority and patterns of cooperation. The specialists on one policy area at one level of governmentāsay state agriculture officialsāwill cooperate with agriculture specialists at the national and local levels of government, but only on the issue of agriculture. The cooperation occurs within policy areas then, rather than across policy areas.
- Source: 2012 Statistical Abstract of the United States, Table 4.31, and the Bureau of Economic Analysis, āGovernment Current Receipts and Expendituresā (accessed 5/31/16). A lot of the cooperative relationship between the national and state governments relates to the system of transfer payments from the national government to the states. However, depending on how the money is transferred, the states may be more or less willing to cooperate. States tend to prefer block grants over categorical grants, as they give the state government the opportunity to decide how best to spend the money for its citizens. The national government tends to prefer categorical grants, as they give Congress more control over how the money is spent.
- In American politics, we tend to reinforce our desire for a strong national government: During crises and wars: for example, after the terrorist attacks of September 11, 2001, Americans expected the national government to improve national security. If states violate the civil rights of their residents, the national government often steps in guarantee equal treatment for citizens Coercive federalism require states to change their policies by using regulations or mandates to change their policies. The national government may do this through changing regulations, by making mandates, or by threatening to withdraw federal funding for the states. The national government also issues federal preemptions, which are rooted in the national supremacy clause. Because the national law trumps state law when the two conflict, the national government can impose its priorities on the states.
- In the past 20 years, states have become more active in fighting back against coercive federalism policy innovation. Trust in state governments is often higher than trust in national government, and states have passed a number of policies that are more progressive than the national governmentās. This include issues like fighting pollution through stricter emission standards and providing renewable energy grants in California, or extending state benefits to children of illegal immigrants. Other states have passed more conservative policies than the national governmentās, such as Arizonaās immigration policy and Kansasās voter-ID laws that require proof of citizenship to register to vote. Competitive federalism is competition among the states to provide the best policies to attract businesses. It can be helpful, as it allows people to āvote with their feet,ā but critics have also said that it can lead to a ārace to the bottom,ā whereby states compete in unhealthy ways that lead to social ills.
- The Lopez decision struck down the 1990 Gun-Free School Zones Act, ruling that Congress did not have the power to forbid people to carry guns near schools. After the shooting of 12 students and one teacher at Columbine High School in Jefferson County, Colorado, on April 20, 1999, there were renewed calls nationwide for strengthening gun control laws.
- Federal drug enforcement agents raid a medical marijuana club.
- Aside from the interpretation of the Tenth Amendment and the commerce clause that grass-roots advocates are using to defend laws protecting gun owners and pot smokers, other strategies are used to shift federalism toward statesā rights. In several cases, the Supreme Court has ruled that states could not be sued, even if they violated antidiscrimination laws, because of the Eleventh Amendment. The Fourteenth Amendment was supposed to let the federal government address potentially discriminatory state laws. However, in recent cases, the Supreme Court also created a new (higher) standard required to justify āremedial legislation,ā which consists of national laws that address discriminatory state laws.
- Spending per capita varies dramatically by state. What are some of the advantages and disadvantages of living in a low-spending state or in a high-spending state? What type of state would you rather live in? Why Source: State and Local Government Finance Data Query System, http://slfdqs.taxpolicycenter.org (accessed 6/19/14).
- Rather than being either purely good or bad, federalism and state power have important tradeoffs. Consider the policy innovation of public smoking bans, medical marijuana, seatbelt laws, or mail-in ballots, all of which have emerged as state policies. What are the benefits of allowing states to become the ālaboratories of democracyā? Is there a way to encourage this policy innovation while preventing states from violating the rights of its citizens?
- In layer cake federalism, the boundaries between different levels of government were distinct, with almost no interactions between the elements of government. The national government had a limited role, with little overlap into what activities the states and local government provided.
- In marble cake federalism, which began in the late 1930s, the boundaries between levels of government are not so clear, with a lot of overlap between the different layers of government. This is one kind of federalism that we see today, with lots of interaction between levels of government, and the national government generally playing a larger role in initiating policies that had traditionally been decided by the states.
- Most of the time, the different levels of government cooperate on one particular issue. Rather than thinking about this coordination happening on all issues at once, cooperation is generally on an issue-by-issue basis. On one subject area, policy makers at each level of government, cooperate to achieve the policy goal. On a different policy area, different policy makers will work together to focus on environmental policy. The focus of this conception of federalism is to emphasize that the cooperation occurs within each of the pickets of the fence, without much overlap across issue areas. For example, on the issue of environmental policy, the different agencies and groups at each level of government cooperate to implement environmental policy. For example, at the national level, the Environmental Protection Agency and Department of Interior often coordinate with the Departments of Natural Resources in each of the states, who will also cooperate with city parks and the city land use oversight boards. Thus, there is considerable interaction and cooperation between levels of government on the particular issue of environmental policy.
- At other times, the national government does not cooperate with the states, but rather pressures the states to do what the national government wants. This is called coercive federalism. Commonly, the national government establishes a new policy, and threatens to withhold funds if the states do not comply. The state and local governments change their policies to match the goals established by Congress. Alternately, the national government offers funds to states or local governments if they comply with a new policy goal.
- For example, on the issue of environmental policy, Congress has passed a number of laws, such as the Clean Water Act and the Endangered Species Act, that required the states and local governments to comply with the national rules. At the same time, Congress has passed a number of incentive programs, which have encouraged states and localities to innovate in clean energy and reduce fossil fuel use. Between the requirements and the incentives, Congress has pushed states and localities towards greater levels of energy efficiency and decreased use.
- Source: 2012 Statistical Abstract of the United States, Table 4.31, and the Bureau of Economic Analysis, āGovernment Current Receipts and Expendituresā (accessed 5/31/16). Since the early 1950s, federal spending as a percentage of the overall size of the economy has been ļ¬at, whereas the share of state and local spending has nearly tripled. What does this say about the debates between nation-centered and state-centered federalism?
- In the debate over health care reform and the Affordable Care Act, supporters of nationalized health care argued the federal government could do a better job than the patchwork of state policies to ensure that all Americans receive sufficient care. #ACA #Obamacare
- One of the strengths of federalism is that it allows regional diversity to flourish. Green Bay Packers fans proudly wear their cheesehead hats at Lambeau Field, showing that what passes for normal behavior in one part of the country would be viewed differently in other areas. #Packers Nation
- The Americans with Disabilities Act of 1990 requires that public accommodations and commercial facilities be accessible, but recent Supreme Court rulings have held that the law does not apply to most state and local government buildings. Here, activists for the disabled community are shown in front of the White House lobbying for stronger legislation. #Because Of The ADA #ADA #EEOC
- With the No Child Left Behind Act, the Bush administration increased the national governmentās power over education. States are required to test students and meet goals determined by the federal government in order to receive federal funding. #NCLB #edreform
- The relationship between the national government and the states also involves cooperation. After unprecedented flash flooding devastated South Carolina in October 2015, FEMA partnered with state officials to provide relief at outposts like this one. @FEMA