Chapter 3 Federalism. Chapter 3 Federalism:Unit Outline 1.Introduction Why Federalism Matters...

Chapter 3 Chapter 3 FederalismFederalism

Chapter 3 Federalism:Unit OutlineChapter 3 Federalism:Unit Outline1. Introduction

• Why Federalism Matters• Federal vs. centralized structures

2. Concerns of the Framers• Federalist No. 39 & Democracy in America

3. History of Federalism

4. The Constitution and Federalism• Major sources of conflict: supremacy, commerce and

necessary and proper clauses.• Other constitutional provisions

5. Federalism court cases

6. Fiscal federalism

7. Evaluation of federalism: advantages and disadvantages

FederalismFederalism

“The question of the relation of the states to the federal government is the cardinal question of our constitutional system. It cannot be settled by the opinion of one generation, because it is a question of growth, and each successive stage of our political and economic development gives it a new aspect, makes it a new question.” Woodrow Wilson

Current Issues in FederalismCurrent Issues in Federalism

Immigration reformImmigration reform: Can states pass laws designed to dissuade illegal immigrants? (Carrying documents, punishing landlords, etc.)

Affordable Care Act: Affordable Care Act: What provisions can states choose not to participate in? (Medicaid expansion, health insurance exchanges)

Voter ID laws – Do state requirements for photo identification interfere with the constitutional right to vote?

Firearms regulations – Can states “nullify” federal gun regulations.

Why Federalism MattersWhy Federalism Matters

Federalism is a system in which the national government shares power with state/local governments.

The federal government is not all-powerful. State governments have the authority to make final decisions over many governmental actions.

The most persistent source of political conflict is between national and state governments.


Federalism explains many of the government actions that affect our everyday lives:

• How much we pay in taxes.• How fast we can drive.• Drinking age.• How “successful” our schools are.• Whether children are covered by

health insurance.• Punishments for crimes (death penalty)• What school cafeterias offer for lunch.


A federal system is rare in the world. Unitary systems are more common.

U.S. states maintain a high degree of independence from the national government.

American people are committed to idea of local self-government.

Members of Congress are elected by and responsive to local constituencies.

Figure 3.1 Lines of Power in the Federal System of Figure 3.1 Lines of Power in the Federal System of GovernmentGovernment

Copyright © 2011 CengageCopyright © 2011 Cengage

Figure 3.1 Lines of Power in the Federal Figure 3.1 Lines of Power in the Federal System of GovernmentSystem of Government


The FoundingThe Founding

A bold new plan: There was no precedent for a A bold new plan: There was no precedent for a “federal republic” “federal republic”

Framers envisioned people shifting their Framers envisioned people shifting their support between levels of government to keep support between levels of government to keep the two balanced so neither level would have the two balanced so neither level would have authority over the other.authority over the other.



The Constitution includes The Constitution includes elastic language elastic language because precise definitions of power are politically because precise definitions of power are politically impossible due to competing interests. impossible due to competing interests.

Congress shall have the power to Congress shall have the power to “make all“make alllaws which shall be laws which shall be necessary and proper necessary and proper forforcarrying into execution the foregoing powerscarrying into execution the foregoing powers.”.”(Article I)(Article I)



Added as an afterthought to calm states that feared the intentions Added as an afterthought to calm states that feared the intentions of nationalists.of nationalists.

Has not had much significance through history.Has not had much significance through history.

Supreme Court has recently given more importance to Tenth Supreme Court has recently given more importance to Tenth Amendment.Amendment.

Example: Congress may not regulate the labor market for state Example: Congress may not regulate the labor market for state government employees. (1974)government employees. (1974)

TENTH AMENDMENTThe powers not delegated powers not delegated to the United States by the Constitution, nor prohibited to the States, are reservedreserved to the States to the States respectively, or to the people.


History of FederalismHistory of Federalism

The Supreme Court SpeaksThe Supreme Court Speaks NullificationNullification Dual FederalismDual Federalism Cooperative FederalismCooperative Federalism Creative FederalismCreative Federalism New FederalismNew Federalism DevolutionDevolution

Thomas Jefferson was an Thomas Jefferson was an ardent supporter of states’ ardent supporter of states’ rights, p. 54 rights, p. 54

Bowdoin College Museum of Art, Brunswick, Maine, Bequest of the Honorable James Bowdoin


• Federalism has changed over Federalism has changed over time time to meet new political needs.

• Over the course of U.S. history, American federalism has experienced a steady expansion steady expansion in national powerin national power.

• In recent years, a trend in American federalism called devolutiondevolution has attempted to return power to the statesreturn power to the states.


• Chief Justice John Marshall supported vision of strong national government.

• McCulloch v. Maryland (1819) settled two questions:

• Can the federal government do things not explicitly stated in the Constitution? (Yes.)

• Is the federal government supreme to the states? (Yes)



DOCTRINE OF NULLIFICATIONDOCTRINE OF NULLIFICATION

• If a state believed a federal law violated the Constitution, it could declare the law null and void.

• Used by southern states to push back against northern efforts to end slavery.

• Question settled by Civil War. States cannot nullify federal laws.


DUAL FEDERALISMDUAL FEDERALISM

• Both national and state governments are supreme in their own spheres, which should be kept separate.

• Model: 1789 – 1930s.

• Example: Interstate commerce – federal domain, intrastate commerce – state’s domain.


COOPERATIVE FEDERALISMCOOPERATIVE FEDERALISM

• Change due to Great Depression.

• Model: 1930s – 1960s.

• National and state governments work together to solve problems.

• FDR’s New Deal required states to cooperate with federal programs to achieve success.

• Examples: Social Security, unemployment, infrastructure development.



Dual Federalism(layer cake)

Cooperative federalism(marble cake)


(Analogy from The Federal System, by Morton Grodzins)

“an inseparable mingling of differently colored ingredients, the colors appearing in vertical and diagonal strands and unexpected swirls.”

“So functions are mixed in the American federal system.”

Grodzins: Grodzins: The The Federal System Federal System

CENTRALIZATION VS. DECENTRALIZATION

• Grodzins: The Constitution decentralized power. The Supreme Court has allowed Congress to have “a relatively free hand.”

• Decentralizing components of the original Constitution:o Two Senators from each state.o The role of states in conducting elections.o Relatively few limitations on the lawmaking power of states.o Many clauses of the Constitution are simple and clear and not open to liberal interpretation.

• Political parties operate in a way that decentralizes power.

Grodzins: Grodzins: The The Federal System Federal System

CREATIVE FEDERALISMCREATIVE FEDERALISM

• 1960s: President Lyndon Johnson expanded powers of national government

•Great Society Great Society program: initiatives aimed at aimed at eliminating povertyeliminating poverty and social inequality.

•Creative federalismCreative federalism: released federal funds through grants to states to achieve national goals.


CREATIVE FEDERALISMCREATIVE FEDERALISM

• Programs: Medicaid, Head Start, urban renewal.

•If national government determines states not fully cooperating, funding withheld

•Threat of losing money powerful tool.

•Grant system increased size, cost of national government.


NEW FEDERALISMNEW FEDERALISM

•1980s: President Ronald Reagan supported returning power to the states

•Believed the national government was too big and too the national government was too big and too intrusive intrusive in people’s lives.

•Believed states were better at providing services.

•Cut federal grants and relaxed spending rules states had to follow.


THE THE DEVOLUTION DEVOLUTION REVOLUTION REVOLUTION

•1994 elections: Contract with AmericaContract with America—Republican campaign promise to achieve specific goals

•Central idea: devolutiondevolution—returning power to states

•Reduce size and power of national government by eliminating costly federal programs.

•Since 1994, the scope and cost of the federal government has increased.


Newt GingrichSpeaker of the

House1995-1999

Federalism: Federalism: Good or Bad?Good or Bad?

• Support for a federal system is based on Americans’ desire for localized bases of political power.

• Federal system protects liberty by decentralizing power.


• Hurricane Katrina: Case study in breakdown of federalism.

• Confusion and bickering among government agencies at different levels made the disaster worse.

• President Bush’s approval ratings dropped after Katrina and never recovered to the same level.

• Process of devolutiondevolution slowed after Katrina.


• Can result in confusion for the citizen.

• He or she does not know which entity is responsible for what.

• Doesn’t know what officials to contact.

• Requires experienced citizenry (de Tocqueville)

• Ensures ample opportunity to mobilize political activity.

• Many alternatives for citizens to make their voices heard.

• If one official won’t respond, appeals can be made to other officials or levels.


• Small, organized groups can thwart the will of the majority.

• Example: A few southern senators blocked civil rights laws even after most citizens favored them.

• Interest groups cannot control government (Federalist #10 in action)

• Many centers of power means one faction cannot control all.

• Small groups can be heard and influence policy.

Pluralism: Pluralism: The political system is composed of competing groups trying to influence government policy.


• Diverse policies can lead to inequality among citizens.

• Citizens in some states have advantage over those in other states (welfare, education).

• Per pupil education spending (2005-2006):

Vermont $15,139 Virginia $ 8,725 Utah $ 5,964

• Diverse policies encourage creativity.

• States can be “laboratories of democracy.”

• Policy successes can be copied, failures avoided.

• State solutions can lead to national solutions.


• Diverse policies lead to inequality and confusion among citizens.

• Some policy differences are arbitrary and outdated.

• Examples: Variations in driving laws for teens.

• Diverse policies needed because of different local needs.

• Example: speed limits in Montana vs. Connecticut.

Chapter 3 Federalism. Chapter 3 Federalism:Unit Outline 1.Introduction Why Federalism Matters...

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