Chapter 3: Federalism

1. What is the difference between a unitary, federal, and confederal system of government?

A unitary system is a structure of government in which the state and national government derive their authority from the people while a confederal system is when the national government has very little power compared to the state government. A federal system of government in which the state and national government have equal power and neither one can override their rights.

4. How does Federalism affect democratic participation in our government?

Federalism encourages more citizens take part in politics locally as well as nationally. It increases the likeability that the actions of citizens will have some effect on the government as well.

7. How has the Tenth Amendment been interpreted under cooperative federalism?

The Tenth Amendment was restricted and was justified for its ineffectiveness through the elastic clause. As seen in the New Deal Era, FDR utilized the elastic clause several times throughout his term by implementing various programs to bring up the economy.

6. Why have categorical grants continued to grow faster than block grants, despite repeated attempts to change this thread?

Block grants did not have committees in Congress that favored the growth as seen with categorical grants. Categorical grants also have a bigger impact financially for states and can drastically change the revenue of the state. No single group has a stake in multipurpose block grants.

3. What are the differences between categorical grants, and block grants or revenue sharing?

Categorical grants are specific and contain conditions whereas block grants are very broad and give the state governments more freedom with the funds. Revenue sharing is when tax money is apportioned to each unit of government.

U.S. v Lopez (1995)

Def: Congress passed the Gun Free Zone Act in 1992 and it forbid anyone from carrying a gun within 1,000 feet of a school. Lopez was convicted and charged with a violation of the law. Sig: Raised the question of how much authority did Congress have under the Commerce Clause to pass such a law. The court ruled that the law was unconstitutional and such a power lied within the states legislature.

McCulloch v. Maryland (1819)

Def: McCulloch was the head cashier of the Baltimore bank and he refused to pay the tax, so Maryland attempted to sue him. Through the Supremacy clause, the federal court ruled that the state of Maryland have no right to tax the bank. Sig: One of the many times in which the court extended their powers through the necessary and proper clause.

reserved/police powers

Def: Powers that are left for the states as written in the tenth amendment. These permit the state legislature to pass laws for the public health, safety and morals of their citizens. Sig: The state governments find the tenth amendment as a rationale to pass laws such as restriction on abortion or establishing parental consent for minors on certain provisions.

Tenth Amendment

Def: This is the final section of the Bill of Rights that describes the main idea of federalism in stating that: "The powers not delegated to the U.S. by the Constitution, nor prohibited by it to the States, are reserved to the States respectively, or to the people." Sig: States use this as a rationale to pass laws specifically for their state. An example would be for a single state to legislate laws that restrict abortion.

revenue sharing

Def: a government program in which tax money is apportioned to other units of government. Sig: this ensures that the subdivisions of government are sufficiently funded and can function to their full extent.

bill of attainder

Def: a law that states an act a violation of national law without a judicial trial. Sig: This authority is not allowed in national or state governments because it is arbitrary action that threatens the constitutional rights and liberties of citizens.

Extradition

Def: a process in which a state transfers a suspected or convicted criminal to another state where the crime was committed. Sig: this ensures the trial is in the same state as the committed crime.

unitary system

Def: a structure of government in which the national and state government receive their powers from the people. Sig: after previously being ruled by a monarchy, the Framers feared for a single institution from dominating the government and therefore established the unitary system to ensure that the state and federal government were both responsible.

confederal system

Def: a structure of government in which there is little power within the federal government. The states can create their own militias, but there can be a national currency. Sig: the national government can regulate trade, but the bulk of power is derived from the state legislature.

federal system

Def: a system of government in which the national government and state government obtain their authority from the people. Sig: This structure of government was established to prevent problems that arose for the Framers in the Articles of Confederation.

cooperative federalism

Def: a term often described for the intertwined relationship between the state government and national government during the beginning of the New Deal. Sig: strongly correlated with the marble cake metaphor, cooperative federalism can be seen in eras such as the New Deal where there was a massive growth in federal grant programs.

fiscal federalism

Def: a term to describe when the federal government provides monetary supports to the states through means of grants-in-aid, revenue sharing through block grants, formula grants, and categorical grants. Sig: states receiving these benefits get them as part of funded mandates. This allows for states to prosper and develop programs that could pertain to health, welfare, security, or education of the people.

categorical grants

Def: a type of grant in which Congress gives funds to the states with specific conditions. Sig: not all states are given funds because there are conditions that need to be met. Some examples are the high way beautification programs, and non- discrimination title IX.

commerce clause

Def: as described as an enumerated power in Article I, section 8 of the Constitution, it states that Congress has the power ," to regulate commerce with foreign Nations, and among the several States, and with the Indian Tribes. " Sig: According to the Gibbons v. Ogden case, commerce is every form of commercial activity such as radio, electricity, telephone, internet, and insurance to name a few. Almost anything is justifiable by the commerce clause.

implied powers

Def: authorities that extend the powers of Congress, the President, and the Supreme Court. Sig: the president has inherent powers, Congress has the elastic clause, and the Supreme Court can exercises judicial review.

full faith and credit

Def: clause found in the Constitution under Article IV that establishes the legal recognition of one state's by every other state. Sig: this ensures that citizens have equal rights within all states. For example, if a person is married in one state, the marriage is recognized by other states.

Gibbons v. Ogden (1824)

Def: court case that was a dispute in which the New York state legislature granted Ogden the exclusive right to operate a ferry service on the Hudson River. Ogden argued that since he was given the monopoly, he had a right to run the service. Sig: The court decided that Congress, through the interstate commerce clause, had the power to regulate commercial activity. Congress had no power to create a monopoly to a single steamboat company. This specific case influenced future acts of Congress to be authorized through the interstate commerce clause and expand the federal government's power.

New Federalism

Def: federal government granted more authority to the states by decentralizing federal government services and programs; a downsizing of the federal government. Sig: Often seen in the Reagan administration during the 1980s in which powers were returned to the state governments. The federal income tax was reduced and thus the federal government had less money to spend and have more influence.

conditions of aid

Def: federal regulations that are intertwined with the grants which are received by various states. States must abide by these rules in order for them to get grants from the federal government. Sig: encouraged states to fund various programs such as education in order to receive their grants. These along with block grants has given the federal government more influence over the state governments without actually imposing national laws.

necessary and proper clause

Def: found in Article 1, section 8, of the Constitution that grants Congress the power to "make all laws which shall be necessary and proper for carrying into Execution the foregoing Powers..." Allows congress to carry out the enumerated powers and is also known as the elastic clause. Sig: Permits Congress to expand its powers and makes the Constitution a document that changes with time. For example, Congress used applied this clause to the interstate commerce clause to pass civil rights legislation.

supremacy clause

Def: found in Article VI of the Constitution, this clause states that the national law is supreme to all laws passed by the states or subpart of the government. Sig: This clause has served as the basis of conflicts between the state and federal government. For example, the Civil War was fought over the South challenging the supremacy clause over the issue of states rights and slavery.

block grants

Def: general grant with little parts connected; the federal government gives these grants to states for specified programs or activities. Sig: These grants have given the federal government to indirectly make states encourage education programs, health services, and even highway beautification.

16th amendment

Def: granted Congress the right to enact a national income tax. Sig: this amendment gave the federal government more power over policy areas that it had few funds with. This usually involved powers from the state government that were superseded by the federal government.

ex post facto laws

Def: laws passed after which an originally legal activity is now considered illegal; not allowed in the U.S. Constitution. Sig: this ensures that people are not persecuted for committing a crime that was not known as a violation of the law previously.

mandates

Def: laws put on the states that they must comply with in order to receive funds. Sig: states spend a lot of money because of these federal mandates. There is also such thing as programs that are partially funded and unfunded mandates.

project/formula grants

Def: project grants are given to states that will establish programs for a specific category such as education, health, or welfare. The formula grants have specific rules and a formula for who is eligible for the grant such as per capita income levels. Sig: these types of grants often stir competiveness and influences several programs to thrive.

privileges and immunities clause

Def: stated in Article IV of the Constitution, that ensures to citizens of each state equal rights over all the states. Sig: This guarantees that citizens can cross borders of states without being treated like a foreigner. Americans are recognized as citizens in all states, so they are granted the same rights as stated in the Constitution.

17th amendment

Def: stated that senators are to be directly elected by the people rather than selection from state legislature. Sig: States had less authority in Congress because their principal representatives were no longer in their power.

grants in aid (grants)

Def: the money provided by the federal government to the states for specific purposes. These grants may include categorical grants for example, education, health, and welfare, or project grants, formula grants, and block grants. Sig: These grants help the federal government influence the state government to enact programs to benefit the general public and government itself.

concurrent powers

Def: the same powers that both the federal and state government are granted. Sig: Both the federal government and state government have the right to tax, establish a court system, borrow money, charter banks, take private property, and spend money.

unfunded mandates

Def: these are laws that the states must fund without any help from the federal government. States reject to these laws because they arguably create an unfair tax burden on the people of the states. Sig: Congress is not willing to fun states because they feel that states should be forced to pay for programs in order for important policies to be implemented and because there is a deficit.

inherent powers

Def: these are powers similar to the implied powers that are not specifically states but are said to be possessed in the very idea of national government. Sig: this allows for the government to control national borders, acquire new territories, and defend the state from a revolution.

enumerated powers

Def: they are the seventeen powers, specifically written in the Constitution under Article I, section 8, that allow Congress to regulate commerce, tax, coin money, and provide a national defense, etc. Sig: The court can directly reference the Constitution to support any court proceedings that can be clearly met by the enumerated powers. These powers allow for the federal government to regulate disputes.

dual federalism

Def: this is a belief that there should be a system of government in which the state and federal government have separate and equal powers. Sig: Strongly supported by Chief Justice sucessor Taney who also incorporated concurrent powers throughout his place in court. Helped maintain that the national government does not exceed its enumerated powers specifically stated in the Constitution.

5. Why did "dual federalism" become extinct?

Following the Great Depression, the New Deal program was born and it displayed the governments' utilization of cooperative Federalism as opposed to dual federalism. The nation needed programs to give people jobs and fund programs, so the federal government did enforce its power more during this era.

2. Why have federal grants-in-aid to the states become politically popular and what are the pitfalls of such grants?

The grants-in-aid promote competiveness among the states and give them funds, but not all the states are awarded the project grants. Many of the grants have economic criteria such as per capita income levels.

9. What is the difference between mandates and conditions-of-aid?

With mandates, the federal government directs states to take certain actions in order to possibly receive money. Conditions of aid require specific conditions that need to be met in order to get grants.