Introduction to Federalism (and Fiscal Federalism) – Flashcards
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Cities Federalist Context
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Urban policy and administration is heavily affected by the "variety of means federal, state, and other local governments can employ to limit or expand the actions city officials can take to address important problems
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Constitutional Delineation of Power
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1. Separation of Powers(Horizontal) Legislative<-->Executive<--> Judicial 2. Federalism(Vertical) State and Local governments^ 3. Constitutional(Vertical) Individual Citizens ^
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Federalism
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-A governmental system that divides sovereignty (and thus legal power) between a central government authority and constituent political units (states) -Based on the concept of shared power between government units
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Federalism
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-A governmental system that divides sovereignty (and thus legal power) between a central government authority and constituent political units (states) -Based on the concept of shared power between government units
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Constitutional Roots
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-Federal government authority is limited, enumerated (Art. I, Sec. 8) -State authority is open-ended, residual (Tenth Amend), with clear exceptions (states cannot sign treaties, etc. per Art. I, Sec. 10) -State authority also restricted by several constitutional amendments
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The Supremacy Clause
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-This Constitution, and the Laws of the United States [i.e., federal law]...shall be the supreme law of the land; and the judges in every state shall be bound thereby...." (All state and local law must be consistent with Federal Law. If not Federal Law trumps all.)
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The Tenth Amendment
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States that powers not given to the federal government belong to the states and the people
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State Police Power
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State (and local) governments are charged with taking the lead on regulating those policy areas related to: -Public health(smoking, seat-belts and speed limit) -Public safety( criminal law) -Morally driven issues -The general welfare
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Federal Powers
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1. Maintain Military 2. Declare War 3. Establish postal system 4. Set standards fro weight and measures 5. Protect copyright and patents
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State Powers
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1. Establish Local governments 2. Set up schools 3. Regulate state commerce 4. Make regulations on marriage 5. Establish and regulate corporatioins
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Shared Powers
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1. Collect Taxes 2. Establish courts 3. Regulate interstate commerce 4. Regulate banks 5. Borrow money 6. Provide for the general welfare 7. Punish crimials
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Components of Federalism
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1. Fiscal Federalism 2. Regulatory Federalism 3. Judicial Federalism
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Fiscal Federalism
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-Federal financial aid to states/local govts -State financial aid to local govts
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Regulatory Federalism
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-Federal and state mandates
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Judicial Federalism
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-Federal and state judicial review of intergovernmental policy disputes
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1. Means of External Influence
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Rules regarding local govt autonomy in determining its organization and structure
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2. Means of External Influence
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Rules regarding power of local govt to tax, spend, and borrow
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3. Means of External Influence
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Federal and state mandates
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4. Means of External Influence
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Federal and state court rulings
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Arguments in favor of Federalism
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1. Keeps government close to the people 2. States/cities as "laboratories of democracy" 3. Encourages diversity in local govt 4. Minimizes concentration of political power
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Arguments against Federalism
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1. Potential for inefficient policy and inequality under law 2. Conflicts between governments unavoidable 3. Tied to a history of undesirable policies 4. Policy and regulatory confusion 5. Duplications of offices and functions
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Fiscal federalism
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describes the allocation of resources to lower-level governments for use in shared policy areas - Federal to state - State to city - Federal to city - County to city And so on
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Cities drive funding in only a handful of policy areas?
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police, fire, and libraries
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Fiscal Federalism: "Institutions"
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Laws and other rules placing limits on lower-level government discretion on fiscal issues Rates (e.g., property tax), exemptions, debt limits, and so on.
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In all other areas, cities partner with state and federal government to deliver services, including:
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- Education - Environment - Housing - Econ Development - Health care - Transportation
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Prop 13 is classic example
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1. Limits property tax rates statewide 3. Establishes rules for increasing taxes by both state and local governments
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Fiscal Federalism: Direct Assistance
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1. Block Grants 2. Categorical Grants
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Block grants
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Funds provided to general purpose governmental units in accordance with a statutory formula for use in a broad functional area, largely at the recipients discretion. Ex: CA Community Development Grant -Up to $2.5 mil in state money for cities to use to lend to promote business development
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Categorical grants
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Funds limited to narrowly defined purposes and targeted populations; typically comes with reporting obligations designed to ensure accountability Ex: Medicaid -Fed govt transfers to states money necessary to provide health insurance coverage for low-income residents (people who meet specific state-based criteria)
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Funding for K-12 Education in CA
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Lottery 1.3% Local Miscellaneous 6.2% Federal Gov 12.3% Local Property Tax 21.4% State 58.8%
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Conclusion
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-Federalism is the principle upon which the relationship between the federal govt and the states is structured -Includes legal, regulatory, and fiscal components -Crucial for understanding role of city government
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Conclusion
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-Federalism is the principle upon which the relationship between the federal govt and the states is structured -Includes legal, regulatory, and fiscal components -Crucial for understanding role of city government
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Conclusion
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-Federalism is the principle upon which the relationship between the federal govt and the states is structured -Includes legal, regulatory, and fiscal components -Crucial for understanding role of city government
