Copyright © 2009 Pearson Education, Inc. Publishing as Longman. Federalism Chapter 3.

Copyright © 2009 Pearson Education, Inc. Publishing as Longman.

FederalismChapter 3


Defining FederalismWhat 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

– Unitary governments: a way of organizing a nation so that all power resides in the central government

– Confederation: The United Nations is a modern example.

– Intergovernmental Relations: the workings of the federal system- the entire set of interactions among national, state and local governments


Disaster ReliefWho’s job was it to clean up New Orleans and the rest of the coast after Katrina?


No Child Left BehindShould the national government step in to regulate school performance?


Defining Federalism


Defining Federalism

Why Is Federalism So Important?– Decentralizes our politics

• More opportunities to participate

– Decentralizes our policies• Federal and state governments handle

different problems.– States regulate drinking ages, marriage, and

speed limits.

• States can solve the same problem in different ways and tend to be policy innovators.


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


Federalist #51

Defends the ConstitutionExplains why a strong gov’t is necessary– “If men were angels, no government would be

necessary. If angels were to govern men, neither external nor internal controls on government would be necessary.”

Defends separation of powers between state and national government





Establishing National Supremacy– Implied and enumerated powers

• McCulloch v. Maryland (1819)

– Commerce Powers • Gibbons v. Ogden (1824)

– The Civil War (1861-1865)– The Struggle for Racial Equality

• Brown v. Board of Education (1954)


McCulloch v. Maryland (1819)

BackgroundBank of the US operated in MarylandMaryland did not want BoUS to operate in state, competition unwanted, unfairMaryland taxed the bank to put it out of businessMcCulloch, BoUS employee, refused to pay the state tax

Is a Bank of the US Constitutional?YES. The national government has certain

implied powers that go beyond delegated powers. US needs a national bank for borrowing, lending, holding minted money, etc. All of which are delegated powers.


McCulloch v. Maryland (1819)

Can a state tax the federal gov’t?-NO. The federal gov’t is supreme. Since the BoUS is constitutional, only the feds may tax it.

-John Marshall reaffirmed Supremacy Clause and Elastic Clause

-National (Federal) Gov gets STRONGER


Commerce clauseArt. I, Sec. 8, Cl. 3 – ‘The Congress shall have power - To regulate commerce with foreign nations, and among the several states, and with the Indian tribes.”Congress has used the elastic clause to stretch this powerWhat is commerce? “Buying and selling of goods and services.”Congress given the power to regulate commerce between foreign countries and US as well as state to state… they control business law.


Gibbons v. Ogden (1824)1824 – aka “The Steamboat Case”Ogden received a state licensed monopoly to run a ferry across the Hudson RiverGibbons also saw the potential of the traffic between NJ and NY and obtained a federal license.Ogden sued saying he had the valid state license, even though Gibbons had US license

Result – Gibbons winsExpanded national power in all areas of commerce law because nation overruled state in interstate trade issuesFed Government gets STRONGERAll trade today is primarily controlled by national law


Commerce Clause

Who cares? Why is it important?Gibbons v. Ogden ruling makes a loop hole giving Congress power to take control over any issue involving the movement of people, or thingsFed government power increased


United States v. Lopez (1995)

Commerce clause!!!1995 – “Gun Free School Zone” law banned possession of a firearm within 1000 feet of a school, 12 year old Lopez carried a gun on to the propertyDeclared law unconstitutional – “nothing to do with commerce” – carrying a weapon through a school zone is too much of a stretch for “commerce”LIMITED National government power


Gonzalez v. Raich (2005)Commerce clause!!! Medicinal MarijuanaControlled Substance Act (1970) – US gov regulates the manufacture, importation, possession, and distribution of certain drugsMedicinal marijuana was legalized in California, but illegal to US government. Raich argued commerce clause should not take effect because 1) there was no business transactions and 2) there were no state border issues.Supreme Court ruled 6-3 against Raich saying that the federal government could trump state laws that permitted medicinal marijuana


Hammer v. Dagenhart1918

The Court ruled under the 10th Amendment, only the states and not the federal government could regulate child laborOn the grounds that manufacturing is not commerce and not subject to federal regulation .


South Dakota v. Dole 1987

Federal law that would withhold 5 percent of a state’s highway funds if it did not raise its minimum drinking age to 21.Ruled constitutional. Court believed it was passed in the interest of the “general good” and by “reasonable means.”


United States v. Morrison2000

Supreme Court ruled neither the Commerce Clause nor the Fourteenth Amendment gave Congress the power to enact the Violence Against Women Act.



States’ Obligations to Each Other– Full Faith and Credit: Each state must recognize

official documents and judgments rendered by other states.

– Article IV, Section I of Constitution– Privileges and Immunities: Citizens of each

state have privileges of citizens of other states.– Article IV, Section 2 of Constitution– Extradition: States must return a person

charged with a crime in another state to that state for punishment.


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 1930s


2 Federalisms

TWO METAPHORS…

Dual Federalism – Layer Cake

• Cooperative Federalism – Marble Cake

Federal

State


Powers- Delegated Powers (enumerated

powers) – powers given to Fed govenment by Constitution

- Reserved Powers – state power alone

- Concurrent Powers – shared- Prohibited Powers – denied from

both- Ex. Neither government can tax exports


Elastic ClauseAka – “Necessary and Proper Clause”Art. I, Sec. 8, Cl. 18 - "The Congress shall have Power - To make all Laws which shall be necessary and proper for carrying into Execution the foregoing Powers, and all other Powers vested by this Constitution in the Government of the United States, or in any Department or Officer thereof."

Impossible to predict all powers Congress will need to function, sometimes we might have to allow Congress extra powers to fulfill their delegated powers



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



Fiscal means $Q – How do you get the states to do things they normally wouldn’t do?A – MoneyQ – What is the answer to any question ever asked?A – Money

Fiscal Federalism– Definition: the pattern of

spending, taxing, and providing grants in the federal system

– The cornerstone of the national government’s relations with state and local governments





The Grant System: Distributing the Federal Pie

• Categorical Grants: federal grants that can be used for specific purposes; grants with strings attached

– Project Grants: based on merit– 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 and local governments.


Fiscal Federalism

The Scramble for Federal Dollars• $460 billion in grants every year• Grant distribution follows universalism—a

little something for everybody.

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


Mandates1986 – Asbestos Emergency Response Act, Handicapped Children’s Protection Act1988 – Drug-free Workplace Acts, Ocean Dumping Ban Act1990 – Clean Air ActEX – Columbus, OH spends 23% of the city budget trying to meet environmental mandates (including testing for pesticides used on rice and pineapple)EX – Public schools have to use Internet filtering or schools lose e-rate subsidies


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


Change in SpendingShift towards Federal Government Spending

Federal

State Local (City)

1929

17%

23%

60%

1939

47%

23%

30%

1960

64%

17%

19%

1997

66%

19%

15%




Devolution

Devolution is the return of power to the state gov Idea is fueled by distrust of the federal gov and the desire to save money by reducing the size of the “bloated federal government”


Devolution Example

Personal Responsibility and Work Opportunity Reconciliation Act of 1996Eliminated welfare and transferred the money to states as block grants

• States received wide latitude on how to administer “workfare” but with the knowledge that Congress was counting on anti-poverty spending”

• Strings attached: head of family must work or lose benefit; lifetime benefits limited to 5 years; unmarried mother < 18 only receive $ if stay in school and live with adult; immigrants ineligible for 5 years





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.




Federalism is goodLiving under 2 governments is great…

Built on compromise, promotes unityGov’t duties can be split upBrings gov’t closer to peopleAllows for state gov’t to address issues in unique regions of the countryAllows states to experiment with policy before enacting it at the federal level – Ex.

Vermont’s free health care for children


Federalism is bad

Living under 2 governments is bad…States can impede progress of NationStates are unequalStates have different policyEasier for states to be dominated by interest groups

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