CHAPTER 3: LEARNING OBJECTIVES What Is Federalism? Define federalism and assess the nature of...

CHAPTER 3: LEARNING OBJECTIVES

What Is Federalism? Define federalism and assess the nature of

sovereignty in a federal systemCompare federalism to other systems of

government, including confederations and unitary systems of government

Understand how the Constitution differentiates between federal government powers, state government powers, and concurrent powers

Copyright © 2012 Cengage Learning

CHAPTER 3: LEARNING CHAPTER 3: LEARNING OBJECTIVESOBJECTIVES

What Is Federalism? Recognize the powers accorded to

Congress under Article I, including the necessary and proper clause

Explain the significance of the supremacy clause, the preemption doctrine, and the full faith and credit clause of Article IV in dividing sovereignty between the federal and state governments



The History of American Federalism Define the five eras of American federalism Assess the role played by the Supreme

Court in articulating the various doctrines and frameworks that determined the relationship between the state and federal governments during the five eras of American federalism

Distinguish between different forms of federalism (layer cake federalism versus marble cake federalism) in the modern era



Why Federalism? Advantages and Disadvantages Recognize the advantages of a system that

serves a diverse array of interests

Understand the disadvantages of federalism in terms of fairness and accountability



Current Problems in American Federalism Describe some of the abuses under

federalism, including the use of unfunded mandates and the underfunding of urban centers



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DUELING SOVEREIGN POWERS IN DUELING SOVEREIGN POWERS IN THE UNITED STATES: NOW & THENTHE UNITED STATES: NOW & THEN

At the nation’s founding, many were worried about creating an excessively powerful central government

Many viewed this as threatening the states’ sovereignty, and nearly brought a halt to the American experiment before it began


NOW… THE RIGHT TO DIENOW… THE RIGHT TO DIE

After 15 years in a persistent vegetative state, Terri Schiavo’s husband and legal guardian, Michael, petitioned a court to remove her feeding tube

Terri’s parents disagreed and sought a series of stays against removal of any apparatus necessary to keep their daughter alive


NOW… THE RIGHT TO DIENOW… THE RIGHT TO DIE

Family law is traditionally controlled by state authorities, and a Florida court ordered the tube be removed

Florida’s appellate courts upheld the order

Congress tried to intervene to no avail

Federal courts also ruled this was a state matter not a federal matter

Terri died 13 days after the tube was removed


THEN… CHILD LABORTHEN… CHILD LABOR

In the early 20th century, millions of children, as young as 5 or 6, worked long hours in brutal conditions for barely any compensation

State legislatures began passing laws limiting or banning the use of child labor

This patchwork quilt of regulations varied significantly in their effectiveness



Despite numerous judicial rulings that states alone had the constitutional power to regulate manufacturing

In 1916 Congress passed the Keating-Owen Child Labor Act:

Banned interstate transport of goods made by children under 14 years-of-age



The Supreme Court ruled the Keating Act was unconstitutional

However, nearly 20 years later, spurred in part by the Great Depression

The Court ruled Congress did have the power to enact legislation restricting child labor


OTHER EXAMPLES OF OTHER EXAMPLES OF FEDERAL/STATE CONFLICTSFEDERAL/STATE CONFLICTS

Arizona state officials’ opposition to a federal Martin Luther King Jr. holiday

Movement by Georgians to hoist a state flag with the confederate symbol

Florida state officials’ efforts to hinder federal attempts to return Elian Gonzalez to his father’s custody in Cuba


WHAT IS FEDERALISM?WHAT IS FEDERALISM?

A central government tier and at least one major governmental subnational tier

Each tier is assigned its own significant government powers

This division of powers is sustained by whatever means possible, including court determinations defining the proper bounds of authority


SOVEREIGNTYSOVEREIGNTY

Supreme political power of a government to regulate its affairs without outside interference

Sovereignty in federalism resides in the central government, and also within each of the subunits

The individual fifty states in the United States


COMPARING FEDERALISM TO OTHER SYSTEMS OF GOVERNMENT

Confederation (“confederacy”):A league of two or more independent

states that unite to achieve certain specified common aims

Unitary system:Sovereignty rests in the central

government alone



Figure 3.1 Comparing Systems of GovernmentThe three figures below illustrate the most common configurations for (1) federal systems of government, (2) unitary systems of government, and (3) confederate systems of government. The directions of the arrows indicate the relationship that exists between the different forms of government. Note the two-way arrows found in the federal system.

GOVERNMENT POWERS IN A GOVERNMENT POWERS IN A FEDERAL SYSTEMFEDERAL SYSTEM

Enumerated powers: powers delegated to Congress under Article I of the Constitution

Reserved powers: powers retained by the states

Concurrent powers: powers shared by the federal and state governments


THE SUPREMACY CLAUSETHE SUPREMACY CLAUSE

Article VI: the Constitution and the laws passed by Congress shall be “the supreme law of the land”

Overrides any conflicting provisions in state constitutions or state laws

Each state must also abide by Constitutional interpretations of the U.S. Supreme Court



THE DOCTRINE OF PREEMPTIONTHE DOCTRINE OF PREEMPTION

When Congress exercises power granted to it under Article I, federal laws may supersede state laws, “preempting” state authority

Example: federal regulation of commercial advertising of tobacco products preempted all state rules governing tobacco advertising


YOUR PERSPECTIVE…ON YOUR PERSPECTIVE…ON AMERICAN GOVERNMENTAMERICAN GOVERNMENT

The Real-life Benefits of Attending College Close to Home

State legislatures try to attract in-state students with lower cost, in-state tuition

Students often stay, secure jobs, and contribute to the state’s economy

Should this type of discrimination and/or favoritism be allowed?


RELATIONS BETWEEN THE STATESRELATIONS BETWEEN THE STATES

Full faith and credit clause, Article IV, Section 1: Each state must abide by the decisions of other state and local governments, including their judicial proceedings

Assures stability in commercial and personal relations beyond one state’s borders

Same-sex marriage?Copyright © 2012 Cengage Learning


Gay marriage ceremony inMassachusetts

AP PHOTO/ELISE AMENDOLA

RELATIONS BETWEEN THE STATESRELATIONS BETWEEN THE STATESPrivileges and immunities clause,

Article IV:Protects the rights of citizens to travel

through other states, to reside in any state, and to participate in trade, agriculture, and professional pursuits in any state

Extradition: criminals escaping to another state must be returned


RELATIONS BETWEEN THE STATESRELATIONS BETWEEN THE STATES

Article III, Section 2: gives the U.S. Supreme Court the authority to decide disputes between states

Example: New York and New Jersey both claimed sovereign authority over Ellis Island

The Supreme Court ruled it is within the state boundaries of New Jersey



Ellis IslandAP PHOTO/MARTY LEDERHANDLER

THE HISTORY OF AMERICAN THE HISTORY OF AMERICAN FEDERALISMFEDERALISM

Presidents, Supreme Court justices, and members of Congress have played a role in shaping federalism

Flexibility has allowed federalism to adapt to changing circumstances

Scholars have identified at least five eras of American federalism—each period is defined by shifts in power


ERAS OF AMERICAN FEDERALISMERAS OF AMERICAN FEDERALISM

State-centered federalism: 1789 –1819

National supremacy period: 1819 –1837

Dual federalism: 1837 – 1937Cooperative federalism: 1937 – 1990The “new federalism:” 1990 – present


STATE-CENTERED FEDERALISM STATE-CENTERED FEDERALISM 1789 –18191789 –1819

Each state managed its own affairs, often with little interference from the federal government

State governments exercised a nearly exclusive role in the administration of education, family and criminal law, civil and property rights, elections, and labor relations


NATIONAL SUPREMACY PERIODNATIONAL SUPREMACY PERIOD1819 –18371819 –1837

President John Adams’ appointment of John Marshall as chief justice of the Supreme Court was extremely significant

Marshall’s national supremacy doctrine of federalism, and broad interpretation of the necessary and proper clause gave Congress the power to expansively exercise their delegated powers


NATIONAL SUPREMACY PERIODNATIONAL SUPREMACY PERIOD1819 –18371819 –1837

Key Marshall decisions: McCulloch v. Maryland (1819)

Gibbons v. Ogden (1824)

To Marshall, the Court’s duty was not to preserve state sovereignty, but rather “to protect national power against state encroachments”



Portrait of John Calhoun, circa 1830

STOCK MONTAGE/GETTY IMAGES

Gibbons v. Ogden (1824)The Supreme Court case that held that under the Constitution, a federal license to operate steamboats overrides a state-granted monopoly of New York water rights.

DUAL FEDERALISMDUAL FEDERALISM1837 – 19371837 – 1937

Marshall’s successor Roger B. Taney did not believe the federal government was “superior” to state governments

Viewed the Constitution as a “compact of sovereign states,” with the powers reserved to the states by the Tenth Amendment limiting congressional power


DUAL FEDERALISMDUAL FEDERALISM1837 – 19371837 – 1937

The Supreme Court refused to give Congress the discretionary authority it previously enjoyed

Congress’ regulatory legislation, such as the previously discussed child labor laws, was set aside as unconstitutional

The necessary and proper clause became much less elastic



Figure 3.2 Admission of States to the Union

COOPERATIVE FEDERALISMCOOPERATIVE FEDERALISM1937 – 19901937 – 1990

President Franklin D. Roosevelt (FDR) and his supporters believed the economic hardships of the Great Depression demanded an activist federal government

But the conservative Supreme Court’s opposition to aggressive New Deal policies a stood in their way



FDR proposed expanding the size of the Court to fifteen—allowing him to “pack” it with advocates of broader federal legislative power

Unnecessary—because as public frustration with the Court was mounting, two justices abandoned dual federalist principles in favor of FDR’s policies



Layer cake federalism: Authority of state and federal governments is distinct and more easily delineated

Marble cake federalism: State and federal authority are intertwined in an inseparable mixture


POSITIVE ASPECTS OF POSITIVE ASPECTS OF COOPERATIVE FEDERALISMCOOPERATIVE FEDERALISM

Grants-in-aid: fund state programs that fulfill purposes expressly approved by Congress and/or its regulatory agencies

Block grants: may be used by state or local governments at their discretion for more generalized programs


NEGATIVE ASPECTS OF NEGATIVE ASPECTS OF COOPERATIVE FEDERALISMCOOPERATIVE FEDERALISM

Various conditions attached to federal appropriations to the states

“Protective conditions”—designed to ensure the state administers its program consistent with Congressional objectives

Example: National Minimum Drinking Age Amendment


THE “NEW FEDERALISM” THE “NEW FEDERALISM” 1990 – PRESENT1990 – PRESENT

President Ronald Reagan advocated federal initiatives to return policy-making authority to the states Devolution

Reagan’s emphasis on deregulation and increased state responsibilities set the stage for more sweeping reforms in the years ahead



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1981 New Yorker cartoon depicting President Ronald Reagan’s plans to return some federal programs to the states.

SUPREME COURT PRECEDENT SUPREME COURT PRECEDENT AND THE “NEW FEDERALISM” AND THE “NEW FEDERALISM”

1. The Court has rejected coercive federal conditions on appropriations, that leave the states with no discretion to form their own policies

2. The Court has scaled back somewhat Congress’ virtually unlimited authority to regulate interstate commerce


SUPREME COURT PRECEDENT SUPREME COURT PRECEDENT AND THE “NEW FEDERALISM” AND THE “NEW FEDERALISM”

3. The Court has scaled back the doctrine of preemption, at least as applied to Congressional regulation of state governmental workers and employees

4. The Court has given new teeth to the Eleventh Amendment



This radioactive waste plant in New Mexico was built by the state with strong monetary incentives from the federal government. JOE RAEDLE/GETTY IMAGES

AMERICAN GOVERNMENTAMERICAN GOVERNMENT IN IN HISTORICAL PERSPECTIVE:HISTORICAL PERSPECTIVE:

When Must the Federal Government Put State Governments in Their Place?

1850: Fugitive Slave Act1963: Gideon v. Wainwright 2010: McDonald v. Chicago



Then-House Minority Whip Newt Gingrich addressing Republican Congressional candidates during the 1994 election campaign. The “Contract with America” was credited in part with helping the Republicans take back the Congress in November 1994 and with making Gingrich the first Republican Speaker of the House in forty years.

AP PHOTO/JOHN DURICKA, FILE

AMERICAN GOVERNMENT AMERICAN GOVERNMENT IN IN GLOBAL PERSPECTIVE:GLOBAL PERSPECTIVE:

Old Rivals Georgia and Florida Do Battle in a Brand New Venue

2003: proposed NAFTA extension to countries in Central America and South America

The location of the proposed Free Trade Area of America headquarters caused controversy


WHY FEDERALISM? ADVANTAGES WHY FEDERALISM? ADVANTAGES AND DISADVANTAGESAND DISADVANTAGES

Advantages:Accommodation of DiversityStrengthening of Liberty Through the

Division of PowersMadison’s prophecy Encouragement of Laboratories of

DemocracyAdaptability to Changing Circumstances



Like this Texan, many citizens take pride in their home states.

An interstate highway beset with construction. Many states must rely heavily on federal construction funds to help them maintain roads and highways.

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WHY FEDERALISM? ADVANTAGES WHY FEDERALISM? ADVANTAGES AND DISADVANTAGESAND DISADVANTAGES

Disadvantages: Fiscal Disparities among the States

Lack of Accountability

Undue Reliance on Courts to Define the Rules of Federalism


CURRENT PROBLEMS IN CURRENT PROBLEMS IN AMERICAN FEDERALISMAMERICAN FEDERALISM

Unfunded Mandates: federal directives to the states requiring them to perform regulatory tasks at their own expense

The Growing Crisis in Big Cities: inequities in a system that relies heavily on each state to fund many of its own social programs Needs often outstrip the city’s tax base



A public school in Camden, New Jersey, which first opened in 1887.

A modern public high school in the wealthy suburb of Hudson, Ohio.

AP PHOTO/TIMLARSEN

AP PHOTO/LUKE PALMISANO

NOW & THEN: MAKING THE NOW & THEN: MAKING THE CONNECTIONCONNECTION

When Congress initially attempted to legislate against child labor it ran squarely into a tradition of federalism

When congressional leadership intervened in the Terri Schiavo case it was again rebuffed

Where should the line be drawn between state and federal powers?


POLITICS INTERACTIVE!POLITICS INTERACTIVE!

THE MEDICAL USE OF MARIJUANAThe federal Marijuana Tax Act of 1937

prohibited the use of cannabis as a prescription drug

California and other states have recently passed laws that allow the use of cannabis for medical purposes

Who wins this conflict?Copyright © 2012 Cengage Learning

POLITICS INTERACTIVE!POLITICS INTERACTIVE!

Gonzales v. Raich (2005):The U.S. Supreme Court ruled in favor

of the federal governmentRuled that Congress has authority

under the commerce clause to regulate activities such as marijuana use that have a substantial impact on interstate commerce



Marijuana by prescription

BRUCE ELY/THE OREGONIAN/LANDOV

POLITICS INTERACTIVE!POLITICS INTERACTIVE!www.cengage.com/dautrich/

americangovernment/2eFind the politics interactive link for details

on why the use of cannabis in medical treatment remains a point of controversy in federal-state relations

Learn how the National Organization for the Reform of Marijuana Laws (NORML) is working with states and policymakers


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