PSC 1002 Introduction to American Politics Week 3 Notes
PSC 1002 Introduction to American Politics Week 3 Notes PSC 1002
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Date Created: 02/02/16
WEEK 3 NOTES Introduction to American Politics Professor JPSC 1002 Caroline E. Jok The George Washington University Class 5 ~ Federalism Federalism: System in which authority is divided between national and subnational government Trajectory: Dual federalism -> Shared federalism/competitive federalism -> Nationalization (primarily a summary of Federalism) Shared Federalism: • Disaster response • Compare America's system to one without a federal system Federal system: • Contrast how other systems are organized around the world. o Most countries are unitary • France: debate over religious symbols in pu blic schools § The national law is controlling what kids wear to school § If it were the United States: local school systems would control this. • Have 2 layers • Reading outlines what a Unitary government is • National Federalism -> State o State creates the Local g overnments o Ex: Former Mayor of NYC Michael Bloomberg and the issue with congestion traffic laws • Other Federal systems? o Canada, India, Switzerland, Belgium, Germany • Manages ethnic diversity: gives provinces the power to nourish cultural heritage § Ex: Quebec or Spain with it's Basque region of Catalan • Subnational government keeps people happy. • U.S. Federal system o Gives autonomy to Native Americans o 10th Amendment reserves the rights to the states o Madison 45: "The powers delegated by the proposed Constitution to the federal government are few and defined. Those which are to remain in the State governments are numerous and indefinite" o Hamilton 17: "I confess, I am at a loss to discover what temptation the persons entrustwith the administration of the general government could ever feel to divest the States of the authorities of that description. The regulation of the mere domestic police of a State appears to me to hold out slender allurements to ambition" o We have a necess ary and proper clause = elastic clause o Can see the evolution of Federalism • Dual Federalism: 2 separate spheres of authority o Evolution: • Blending of the circles • Shared federalism: both have authority over policy tax • Joint supply of goods/services • Ex: natural disaster response. o The constitution seems to set up one thing but shifts to something else. • Nationalization: o Why? Because we are dealing with more and more policy domains o Things are becoming the federal government's responsibility o Federal government makes more consequential rules o Power is extremely centralized • What happens when federal and state law conflict? o Now federal law typically wins o WE see more national government using state government to carry out policies/preferences of state governments • Is this a coercive aspect? • Why the shift? o Permissiveness of supreme court • Mid 19c. Lots of state resistance to national government, especially through nullification • How does the constitution divide sovereignty among the states? • See the necessary and proper clause • Consider economic downfall and getting people to spend more. Class 6 ~ Federalism cont. Consider the Supreme Court Cases that have facilitated nationalization • McCulloch v. Maryland in 1819 1. Yes. Congress has power under the Constitution to incorporate a bank pursuant to the Necessary and Proper clause (Article I, section 8). 2. No. The State of Maryland does not have the power to tax an institution created by Congress pursuant to its powers under the Constitution. • Gibbons v. Ogden in 1824 1. No. A state may not legislation inconsistent with federal law which regulates a purely internal affair regarding trade or the police power, or is pursuant to a power to regulate interstate commerce concurrent with that of Congress. 2. No. States do not have the power to regulate those phase s of interstate commerce which, because of the need of national uniformity, demand that their regulation, be prescribed by a single authority. 3. No. A state does not have the power to grant an exclusive right to the use of state navigable waters inconsistent with federal law. • Wickard v. Filburn 1. Yes. Congress can regulate the production of wheat intended for personal use and not placed in interstate commerce. 2. Yes. Congress can regulate trivial local, intrastate activities that have an aggregate effect on interstate commerce via the commerce power, even if the effect is indirect. The issues of the country face nationalization: • The energy distribution • Roads (Eisenhower) • Regulation of Food and Drugs • Regulation of environment etc. • Welfare, Unemployment Political Interests seek Nationalization • Creation of Non-profits • Nation-wide campaigns • How involved does government get involved in those? • Is it a state or federal issue? The Federal Government Actions: • Carrots o Block Grants, Temporary aid to needy famili es o Matching funds (medicaid) • Sticks o Unfunded mandates o (Americans with disabilities act) Study Guide Questions • In the chapter 2 and in lecture we have discussed many compromises in the Constitution. How does federalism constitute a compromise? What were the Founders trying to balance when the created a federal system? • What is federalism? How does it compare to other governmental structures? Make sure to understand what dual and shared federalism are. • What parts of the Constitution establish federalism? Key concept here are: the supremacy clause, enumerated powers, the elastic (or necessary and proper clause), and the Tenth Amendment. • Was it always assumed that the federal government would have supreme power? Wh at was the Supreme Court case McCulloch v. Maryland about? What rules were established by that case? How did this expand or contract federal power? • Over time the national government has gained more power through a process called nationalization. What is this? What explains the trend? • How do federalism and nationalization cause or help solve coordination and collection action problems? What does the example in the Kettl reading tell you about the potential challenges in a federal system? During the first lec ture we spoke about certain powers governments have to solve coordination • problems. How do "carrots" and "sticks" illustrate this? What are "carrots" and "sticks"? What are some examples of these concepts? • What is the dispute in Oregon -- discussed in the two New York Times articles -- ultimately about? How is this dispute related to federalism? Reading Notes ~ Logic Chapter 3 Is there a rationale for having some government services supplied locally, others by the states and still others by the national government? Despite the framers' efforts to keep the national government out of the states' business, was it inevitable that so many policies once left to the states are now handled by the federal government? When elected officials from the states challenge national authority, what deter mines who will have the final say over policy? --- Key Terms Block grant: grant of money given by the federal government to a state government which specifies the general area in which the funds are to be used but leaves it to the state to determine the sp ecific allocation of the money. Cutthroat competition: competition among states that involves adopting policies that each state would prefer to avoid. Ex: states engage in cutthroat competition when they underbid one another on tax breaks to attract businesses relocating their facilities. Dual federalism: system of government in which the federal government and state governments each have mutually exclusive spheres of action Elastic clause: allows congress to make all laws which shall be necessary and prop er for carrying into execution the foregoing powers Enumerated powers: explicitly power given to Congress by the constitution in Article I section 8. These include the powers of taxation, coinage of money, regulation of commerce and provision for national defense. Externality: Public goods/bads generated as a byproduct of private activity (ex: air pollution) Federalism: system of government in which power is divided between a central government and several regional governments. Grants-in-aid: funds given by congress to state/local governments for a specific purpose Matching grant: grant of money given by the federal government to the state government for which the federal government provides matching funds (between one and two dollars) for every dollar the state spends in an area. Nationalization: shifting to the national government responsibilities traditionally exercised by the states Preemption legislation: Laws passed by Congress that override or preempt state or local policies. The power of Preemption derives from the supremacy clause of the constitution. Race to the bottom: When states "race" to provide a minimum level of services (i.e. welfare) or regulation (i.e. tax incentives) Shared federalism: system in which the national and state governments share in providing citizens with a set of goods. States rights: safeguards against a too-powerful national government that were favored by one group of delegates to the constitutional Convention. States' rights advocates supported retaining those features of the Articles of Confederation that guarded state prerogatives, such as state participation in the national officeholders and equal representation for each state regardless of population Tenth amendment: offers the most explicit endorsement of federali sm to be found in the Constitution: "the 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." Unitary governance: system of government in which a sing le government unit holds the power to govern the nation (in contrast to a federal system in which power is shared among many governing units) --- States' rights: • Philosophical commitment to the decentralization of authority Federalist: • Patchwork of policies that are created through states make it difficult to govern a state where problems can spill over state lines American-Style Federalism • Mixes elements of a confederation (lower -level governments possess primary authority) and a unitary government (national government monopolizes constitutional authority. • British government was an example of unitary authority • Articles of confederation are an example of confederation • Unitary governments are more common o Lower -level governments (countries and metropolitan districts) are created by and dependent on the national government for authority and resources o Central government establishes national policies, raises money and distributes money o May decentralize power by delegation but national government is still n authority • Federal system o 3 general conditions • The same people and territory are included in both levels of government • The nation's constitution protects units of each level of government from encroachment by the other units § States have a commanding veto over the most important national legislation § National government lacks the resources/authority to act independently of the states • Each unit is in a position to exert some leverage over others o Local governments are established by the states and not men tioned in the constitution • May pass laws • Balance budgets • Generate revenue • Do not exercise independent constitutional authority o State officials can exercise their power to intervene in local affairs o State and local government is considered classified as ""u nitary" Evolving definition of Federalism • Dual federalism o Simplest arrangement o Madison's arrangement • States and national government preside over mutually exclusive spheres of sovereignty • Shared (cooperative) federalism o Recognizes that the national and st ate governments jointly supply services to citizens o Each level has exclusive authority over some policy realm, state and federal powers intersect over the most important functions o America's government • Nationalization: shifted the "indefinite" authority to the national side o Ex: New deal, great society, No Child Left behind o Nixon and Reagan pushed for "new Federalism" - giving states more control over the implementation of federal programs o Dual shifts to shared o Why? - perhaps because the states a re becoming more intermingled/growing interrelationship between states = more nationalization Federalism and the Constitution Transformation of the Senate • 19 c. equal representation of states regardless of population + selection of senators by state legislatures = motive & Means to defend state prerogatives against national encroachment o Gave the state too much power o 1913 17th Amendment: direct, election of senators • Removed the stators ties to state legislature • No guarantees that the senators will protect states interests Constitutional Provisions Governing Federalism • Gives the national government at least as much responsibility for overseeing the integrity of the states as it does he states for overseeing the integrity of the national government • Congress can create new states, it cannot destroy an established state without its consent • The Supremacy Clause • Most profound implication for modern American federalism • Article VI: This Constitution and the laws of the United States which shall be made in Pursuance thereof shall be the supreme law of the land • National government enjoys supremacy but only insofar as its policies conform to a constitution that prohibits certain federal activities • Avoid impasses over jurisdiction rather than to cede authority to the national government • The Powers of Congress • Article I section 8: the framers listed enumerated powers that should be in the domain of the national government (issues the states hadn't managed adequately) • Aka: The elastic clause - allows congress to make laws which shall be necessary and proper… • Open ended provision • Interpretation undermines the restricted purpose of the enumerated powers. • Antifederalists see this as an opening for broad national authority • The Tenth Amendment • Madison promises that once the new government was in place, he would introduce a bill of rights • 10th A. most explicit endorsement of federalism to be found in the constitution • Reserved to the states or to the people… • Those powers not taken by the national government do belong to the states Interpreting the Constitution's Provisions • The constitution endorses both national and state power = openings to interpret the constitution according to political objectives • Enter the supreme court • Referee jurisdictional disputes among the states and between states and the national government • McCulloch v. Maryland (1819) • Brought together the supremacy and elastic clauses • John Marshall rules that because the national bank assists congress in performing its responsibilities, that the elastic clause gave the national government the implicit authority to create the bank • Gibbons v. Ogden: • Neither state could control the Hudson - only congress could • Federal authority to regulate commerce • Supreme Court gave itself the power to overrule state laws that it sees as hostile to the bill of rights or to justice • Gitlow v. New York • States could not abridge the free speech rights of their residents • Near V. Minnesota • Protection of free press to the states • Palko v. Connecticut • States can't violate rights without which 'neither liberty nor justice would exist' § State prohibitions against the use of contraceptives violated the inherent right ot privacy • Roe v. Wade: • States could not impose strict limits on abort ions The paths to Nationalization • Progressively throughout the civil war period • Industrialization brings the needs of the public outside of their smaller communities • Nationalization of public policy grows out of the requirements of collective action logic • States have solicited federal intervention when they could not solve their problems by working together individually • Constitution prohibits formal interstate agreements in the absences of the national governments consent • National majorities have increasing ly insisted on federal involvement Historic Transfers of Policy to Washington • New Deal, Great Society = 2 shifts toward nationalization • New Deal: • Comprehensive set of economic regulations and relief programs to fight the great depression • Dramatic growth in federal spending • Roosevelt invokes the Commerce clause • War on Poverty = provided health insurance to low income families etc. • Grants subsidized state programs that implemented national goods. Nationalization: The Solution to States Col lective Dilemmas Coordination Problems • Even when the need for coordination is essential, there is no guarantee that it will happen. • Consider transaction costs, conformity costs, inability to retain jobs Reengaging and Shrinking: • Many issues are solved b y national laws that authorize federal government to take direct action in raising resources or administrate politics • Environmental issues come into concern - balancing good of the environment and good of the state and business. Cut throat competition Political Logic of Nationalization • Promoters of policy will sometimes try to shift it from the states to the national government because • Expect more sympathetic treatment in Washington • Find it easier than lobbying fifty state governments • EX: Mothers Against Drunk Driving • National community may be the only place where it has hope especially when a policy is opposed in the community where it would need to be enforced • Ex: Civil Rights • National parks = public goods • Madison says: when states and national government combine the citizenry's preferences into different groupings, with the result that the two levels of government may adopt different or even opposite policies to address the same problem. Modern Federalism The National Government's Adva ntage in the Courts • Justice Blackmum says that the tenth amendment is too ambiguous to guide between the states and the national government • Because members of Congress come from the states, the majority opinion concluded that the political process ensures that laws that burden the states will not be promulgated • Supreme Court has begun to take a more circumspect view of federal authority Preemption Legislation • Federal laws that assert the national government's prerogative to control public policy in particu lar field • New Deal: national policy onto state administration on reshaping modern federalism • State government has grown despite nationalization, federal domestic policy continues to be implemented through the states instead of directly through the federal bureaucracy • National government develops in 2 ways. The Carrot: Federal Grants to the States • Grants-in-aid: important feature of intergovernmental relations • Grants may have enormous impact on how much control the federal government exercises over the scope of state programs • Block grant: it gives each state or local government an exact amount of money to spend for some purpose • Matching Grant: federal government promises to provide matching funds, usually between one and four dollars • Creates a moral hazard • Situation in which people or groups behave differently and often take more risks and when they don't have to pay all the costs of their actions • Medicaid • Matching rates incentivize higher state spending and redistribute money across the nation - they are an issue of partisan contention The Stick: Unfunded Mandates: • Until the 1960s only federal regulations applied to the states that were governing the routine reporting and accounting for grants • States are now required to administer policies they might obj ect to and that the government may not even compensate for the costs. • Crosscutting requirements: statutes that apply certain rules and guidelines to a broad array of federally subsidized state programs • Cross over sanctions: stipulations that a state must adhere to the guidelines of an unrelated program for full federal funding of another program • Direct orders: requirements that can be enforced by legal and civil penalties • Partial Preemption: allow states to administer joint federal state programs Evolving Federalism: A byproduct of National Policy • Nationalization of public policy that proceeded from these causes did not arise from grand design: politicians sought solutions to problems and responded to the demands of their constituencies Reading Notes ~ Kettl (3 -1) Federalism: Sorting out who does What • Separation of Powers = division of authority across institutions of the national government • Federalism = vertical division of authority and responsibility between Washington and the states • American Federalism = Shared federalism o 20th c. Power is shifting to the national government • Post Oso mudslide (2014): o Should local officials have done more to prevent people from building in harm's way? o One claimed - can't make risk assessments if they don't have the data o Was the mudslide pr edictable? Many people say yes. • • Federal government officials often know a great deal about the risks that local residents face, but they don't have the authority to act because most building policies are local • Local governments have the authority to act, but not the capacity to collect all the technical information • Citizens always look to the government as the insurer of last resort • Emergency aid - important role of government • Underlying policy dilemma: should the federal government be the insurer of las t resort, & be responsible for salvaging housing decisions made by citizens and zoning policies which have been set by individual communities? • Which level of government should have what responsibility • 10th amendment: The 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" Shifting boundaries: • Regulatory issues with Marijuana o There were government regulation, but states chose to take that upon themselve s o Should Federal Government invoke a federal preemption and take a tough enforcement stand for the good of the people? • Might make people angry o Challenge the decisions of the state voters? Or Let them learn on their own? • How far should the federal government go in enforcing laws out of sync with local voters? • Dilemma: when local laws fall out of sync with national laws. • Governing: finding common ground between policy goals and different levels of what officials want and what citizens will actually do. Federalism's Arenas • With so many different players at all levels, the struggle for control as well as for finger pointing and blame shifting becomes inevitable. • Issue is often fiscal: Who has the prime responsibility for paying for at least a minimum level of services across the nation's communities? • Administrative: how can the federal, state, and local governments provide a coordinated/effective response? • Medicaid: o Sucking money out of all the budgets o Conservative: • Government should convert the pr ogram into a block grant (states get the federal money and have flexibility in spending it) o Liberal: • Expand Medicaid o Fed. Worry: • State decisions were making claims on federal budget • State based decisions were increasing state health care disparities o Which problems are national ones that require federal level solutions? o What support should federal government provide to state/local government programs to help them accomplish federal goals? o To what degree should state and local governments be seen as indep endent and free standing governments? o In what measures are they operating as administrators of a federal program? • Affordable care act: o States the choice of creating their own health insurance market places or relying on a national one o State opposition led to stronger federal role • When the Framers met: o Northerners didn't trust southerners o Farmers didn't trust merchants o Larger states didn't trust smaller state • Federalism: o Flexible system for creating arenas for political action o Living Constitution Political Federalism: • How much power should the national government have and how much should the states have o Founders sidestepped it • A Cruise to somewhere o Can people gamble on the water? Who has jurisdiction over the ports? o 11th amendment: judicial power of the federal government does not extend to the states • Supports the notion of dual federalism: Separate spheres of federal and state action o 14th amendment helped shift the power to the national government • Federalism means war o Supreme Court under Rehnquist gradually chipped away at national power and aggressively worked to strengthen the role of the states o Dual Federalism course? • How far is the court prepared to go in pursuing dual federalism? § At some point the pursuit of state dignity will collide with national standards for equal protection § State protection against national labor standards will crash into national protection of civil rights and civil liberties. § Civil rights: strong case for national preeminence § States' system of law: strong case for state preeminence § Others are gray • How far can the court advances state -centered federalism without running headlong into the new campaign for homeland security which demands a strong national role? § Nation needs a strong in telligence apparatus and powerful emergency response system o The nation has to determine how best to balance competing policy goals and constitutional principles • Federalism and the Living Constitution o Where to draw the line and who draws the line? Between federal and state power o Equal protection and homeland security will intensify the disagreement o Federalism is created with the ability to adjust the balance o At its core it is a political question Fiscal Federalism • Who pays for what? • Ex: building roads/hig hways • National goals through intergovernmental grants o The national government does not force local government accept money o Eisenhower's national interstate highway system • States joined because the federal government paid for 90% of it. § Motorist wanted better roads § System served both transportation and defense goals o Lyndon B. Johnson: War on Poverty • Fought through national grants to state an local governments • model cities program • Medicaid • Grants for job training, criminal justice, public health etc. o Good strategy • Sidestepped constitutional limitations on national interference • Did not force state and local governments to join the programs • Sidestepped another constitutional problem: national government dealing directly with local government o The States created the national government so constitutionally the national government must deal with the states o Local governments are considered creatures of the states o Local governments often find themselves lacking power and money, many analyst thing the only solution is to create a direct link between the national and local government • Federal grants are the answer • These governments are becoming more and more dependent on these grants. • No News was bad news o 2002 recession: look to the federal government for help , but nothing was proposed o Wanted to bring back the program of revenue sharing o Bush presented tax reform instead of federal grants o States fault: Stein's Rule "Things that can't go on forever, won't" • Exploding Health Care Costs o 1990s national government increased aid for payments to individuals (mostly through Medicaid) o Prediction: little federal aid for anything but payments to individuals for Medicaid • Monster in the states' budgetary basement: health care o There will have to be a new partnership between the states and the federal system • The problems they share never come together Administrative Federalism • Corollary of the rise of fiscal federalism: growing importance of state/local governments as administrative agents of national programs • National government has increased spending without increasing the number of bureaucrats o Has leveraged the activity of state and local governments as agents to do work o States usually have discretion about whether to enlist a s national agents • Consider Environmental policy § States have substantial responsibility for issuing permits and monitoring emissions • Policymaking for the Nation - in Sacramento o California has been aggressive in campaigning to reduce air pollution o The state set tougher standards than the federal regulation o The state government chided the national government for failing to ratify the Kyoto treaty o The changes that took place in automakers selling to California inevitably took place in other states too. o Budding ties between state regulators and the European Union • American policy for auto emissions is subtly shifting course driven by activities at the state and international level. • Risk: policy strategies could be implemented without a national debate about wh at is truly in the national interest. Conclusion • James Madison would be stunned at the idea of using federalism to work out problems of ship - based gambling, health care and climate change • Echo the issues of the 18th c. • Federalism allowed the states and national government to work together Reading Notes ~ Arti cles NYT Protestors in Oregon Seek to End Policy that Shaped West • Bundyville:: armed protest over how gov. manages Western lands • Armed, anti-government group occupying a wildlife reserve o Want the lands to be in t he control of ranchers and local governments • Goal: o Get the Logger back to logging, rancher to ranching etc. • Illegal grazing on public land • Land is power o "federal government unconstitutionally laid claim to land within the United States" • In common: reverence for the Constitution • Differ: o Beliefs, motivations, personal liberty, economic harm to agricultural heritage or tradition Why The Government Owns so much land in the West • The U.S. government owns 47% of land in the west • Taken over a federal building • Fight between government and settlers about how the land should be used How did the federal government get the land? • Divestiture: action/process of selling off subsidiary business interests or investments. • Public use • The U.S. purchase or took the land • Over time transferred land to state governments/individuals: o Homesteading o Land grants • Farmers could procure land for agricultural use o Free use of unclaimed lands by ranchers • Much of the land isn't attractive to farmers • Federal law recently eliminated home steading o More formal system of management for land Isn't the Government protecting that land? • Conservation became a more important public policy goal & worries of corruption rose o Land transfer slowed. • Much of the land is managed by Bureau of Land Managem ent o Available for lease Why are the cattle grazing on it? • Early 1900s: cattle farmer booms o Fed government was basically giving away free commodity (land = grass) o Tragedy of commons • Everyone was allowed to let the cattle graze o Taylor Grazing act: • Created a federal body: division of Grazing to manage the grazing of the land So Why the Anger? • Is the government a decent/inflexible land lord? • Charges lower rents for grazing and mining permits • Some of the land has been sold to individuals • Recent years: o Congress has considered legislation to transfer ownership of public lands from federal ownership to state control o Advocates: • State ownership would be more responsive to the preferences of the people o Studies: • Substantial administrative costs for states • The government already gives states a portion of the leasing revenue to compensate for the taxes they may have collected if the land were privately owned • $275 million in costs for the states if they were in control
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