Chapter 4: FederalismChapter 4: Federalism

James MadisonJames Madisonhttp://www.learner.org/courses/http://www.learner.org/courses/

democracyinamerica/dia_3/democracyinamerica/dia_3/dia_3_video.htmldia_3_video.html

Terms you need to know after this Terms you need to know after this presentation…presentation…

FederalismFederalism Federalist #51Federalist #51 Delegated powersDelegated powers Reserved powersReserved powers Concurrent powersConcurrent powers Prohibited powersProhibited powers Elastic clauseElastic clause McCulloch v. McCulloch v.

Maryland (1819)Maryland (1819) Commerce clauseCommerce clause Gibbons v. Ogden Gibbons v. Ogden

(1824)(1824)

• Dual Federalism• Cooperative Federalism• Grants-in-aid• Categorical grant• Block grant• Mandate• Devolution• Pros and cons of federalism

Disaster ReliefDisaster ReliefWho’s job was it to Who’s job was it to

clean up New Orleans clean up New Orleans and the rest of the and the rest of the coast after Katrina?coast after Katrina?

No Child Left BehindNo Child Left BehindShould the national gov’t step in to regulate Should the national gov’t step in to regulate

school performance?school performance?

What is Federalism?What is Federalism?Federalism – Federalism – Two or more governments Two or more governments

exercise power and authority over the exercise power and authority over the same people in the same territorysame people in the same territory..

OR… the relationship between the federal OR… the relationship between the federal government (circle) and the state government (circle) and the state governments (squares)governments (squares)

Federalist #51Federalist #51Defends the ConstitutionDefends the ConstitutionExplains why a strong gov’t is Explains why a strong gov’t is

necessarynecessary ““If men were angels, no government would be If men were angels, no government would be

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

Defends separation of powers between Defends separation of powers between state and national gov’tstate and national gov’t

PowersPowers- Delegated Powers (enumerated powers) – Delegated Powers (enumerated powers) –

powers powers given to Fed gov’t by Constitutiongiven to Fed gov’t by Constitution

- Reserved Powers – Reserved Powers – state power alonestate power alone

- Concurrent Powers – Concurrent Powers – sharedshared

- Prohibited Powers – Prohibited Powers – denied from bothdenied from both- Ex. Neither gov’t can tax exportsEx. Neither gov’t can tax exports

Elastic ClauseElastic Clause Aka – “Aka – “Necessary and Proper Clause”Necessary and Proper Clause” Art. I, Sec. 8, Cl. 18 - "The Congress shall have Power - Art. I, Sec. 8, Cl. 18 - "The Congress shall have Power -

To make all Laws which shall be necessary and proper To make all Laws which shall be necessary and proper for carrying into Execution the foregoing Powers, and all for carrying into Execution the foregoing Powers, and all other Powers vested by this Constitution in the other Powers vested by this Constitution in the Government of the United States, or in any Department Government of the United States, or in any Department or Officer thereof.“or Officer thereof.“

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

McCulloch v. Maryland (1819)McCulloch v. Maryland (1819)Background: http://www.youtube.com/watch?Background: http://www.youtube.com/watch?

v=ow6CLLK9Hygv=ow6CLLK9HygBank of the US operated in MarylandBank of the US operated in Maryland

Maryland did not want BoUS to operate in Maryland did not want BoUS to operate in state, competition unwanted, unfair.state, competition unwanted, unfair.

Maryland taxed the bank to put it out of Maryland taxed the bank to put it out of businessbusiness

McCulloch, BoUS employee, refused to pay McCulloch, BoUS employee, refused to pay the state taxthe state tax

McCulloch v. Maryland (1819)McCulloch v. Maryland (1819)

Is a Bank of the US ConstitutionalIs a Bank of the US Constitutional??

YES.YES. The national gov’t has certain implied The national gov’t has certain implied powers that go beyond delegated powers. powers that go beyond delegated powers. US needs a national bank for borrowing, US needs a national bank for borrowing, lending, holding minted money, etc. All of lending, holding minted money, etc. All of which are delegated powers.which are delegated powers.

McCulloch v. Maryland (1819)McCulloch v. Maryland (1819)

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

--John Marshall John Marshall reaffirmed Supremacy reaffirmed Supremacy Clause and Elastic ClauseClause and Elastic Clause

-National (Federal) Gov gets STRONGER-National (Federal) Gov gets STRONGER

Supremacy ClauseSupremacy ClauseArticle VI of the Constitution mandates Article VI of the Constitution mandates

that actions by the national that actions by the national government are supremegovernment are supreme..

Any conflict between a legitimate action of Any conflict between a legitimate action of the national government and a state will be the national government and a state will be resolved in favor of the national resolved in favor of the national government. government.

http://www.youtube.com/watch?http://www.youtube.com/watch?v=1ATpXz2Gql8v=1ATpXz2Gql8

Commerce clauseCommerce clause Art. I, Sec. 8Art. I, Sec. 8, Cl. 3 – ‘The Congress shall have power , Cl. 3 – ‘The Congress shall have power

- To regulate commerce with foreign nations, and - To regulate commerce with foreign nations, and among the several states, and with the Indian tribes.”among the several states, and with the Indian tribes.”

Congress has used the elastic clause to stretch this Congress has used the elastic clause to stretch this powerpower

What is commerce? “Buying and selling of goods and What is commerce? “Buying and selling of goods and services.”services.”

Congress given the power to regulate commerce Congress given the power to regulate commerce between foreign countries and US as well as state between foreign countries and US as well as state to stateto state… they control business law.… they control business law.

Gibbons v. Ogden (1824)Gibbons v. Ogden (1824)

1824 – aka “1824 – aka “The Steamboat Case”The Steamboat Case”Ogden received a state licensed monopoly Ogden received a state licensed monopoly

to run a ferry across the Hudson Riverto run a ferry across the Hudson RiverGibbons also saw the potential of the Gibbons also saw the potential of the

traffic between NJ and NY and obtained a traffic between NJ and NY and obtained a federal license.federal license.

Ogden sued saying he had the valid state Ogden sued saying he had the valid state license, even though Gibbons had US license, even though Gibbons had US licenselicense

Gibbons v. Ogden (1824)Gibbons v. Ogden (1824)

Result – Gibbons winsResult – Gibbons wins Expanded national power in all areas of Expanded national power in all areas of

commerce law because nation overruled commerce law because nation overruled state in interstate trade issuesstate in interstate trade issues

Fed Gov’t gets STRONGERFed Gov’t gets STRONGER

All trade today is primarily controlled by All trade today is primarily controlled by national lawnational law

Commerce ClauseCommerce ClauseWho cares? Why is it important?Who cares? Why is it important?

Gibbons v. Ogden ruling makes a loop Gibbons v. Ogden ruling makes a loop hole giving Congress power to take control hole giving Congress power to take control over any issue involving the movement of over any issue involving the movement of people, or thingspeople, or things

Fed gov’t power increasedFed gov’t power increased

Dred Scott v. SandfordDred Scott v. Sandford (1857)(1857)

The Supreme Court articulated the idea of dual The Supreme Court articulated the idea of dual federalism in which separate but equally powerful federalism in which separate but equally powerful levels of government is preferable, and the levels of government is preferable, and the national government should not exceed its national government should not exceed its enumerated powersenumerated powers..

The Taney Court held that Mr. Scott was The Taney Court held that Mr. Scott was notnot a U.S. a U.S. citizen and therefore not entitled to sue in federal citizen and therefore not entitled to sue in federal court.court.

http://www.youtube.com/watch?http://www.youtube.com/watch?v=YM7onFP9vUQ&feature=relatedv=YM7onFP9vUQ&feature=related

Dred Scott v. SandfordDred Scott v. Sandford (1857)(1857)

The case was dismissed and Scott remained a The case was dismissed and Scott remained a slave. slave.

Chief Justice Roger Taney further wrote that Chief Justice Roger Taney further wrote that Congress had no power to abolish slavery in Congress had no power to abolish slavery in the territories and slaves were private property the territories and slaves were private property protected by the Constitution. protected by the Constitution.

MO Compromise was unconstitutional.MO Compromise was unconstitutional.

The Civil War and BeyondThe Civil War and BeyondDual federalism remained the Supreme Dual federalism remained the Supreme

Court's framework for federalism and the Court's framework for federalism and the prevailing notion in the Reconstruction prevailing notion in the Reconstruction and Progressive Eras.and Progressive Eras.

Dual federalism finally ended in the Dual federalism finally ended in the 1930s, when the crisis of the Great 1930s, when the crisis of the Great Depression demanded powerful Depression demanded powerful actions from the national government.actions from the national government.

United States v. Lopez (1995)United States v. Lopez (1995)Commerce clause quiz!!!Commerce clause quiz!!!1995 – “Gun Free School Zone” law banned 1995 – “Gun Free School Zone” law banned

possession of a firearm within 1000 feet of a possession of a firearm within 1000 feet of a school, 12 year old Lopez carried a gun on to school, 12 year old Lopez carried a gun on to the propertythe property

Declared law unconstitutional – “nothing to Declared law unconstitutional – “nothing to do with commerce” – carrying a weapon do with commerce” – carrying a weapon through a school zone is too much of a through a school zone is too much of a stretch for “commerce”.stretch for “commerce”.

LIMITED National government powerLIMITED National government powerhttp://www.c-spanvideo.org/program/SvLhttp://www.c-spanvideo.org/program/SvL

Gonzalez v. Raich (2005)Gonzalez v. Raich (2005) Commerce clause quiz!!! Medicinal MarijuanaCommerce clause quiz!!! Medicinal Marijuana Controlled Substance Act (1970) – US gov regulates Controlled Substance Act (1970) – US gov regulates

the manufacture, importation, possession, and the manufacture, importation, possession, and distribution of certain drugsdistribution of certain drugs

Medicinal marijuana was legalized in California, but Medicinal marijuana was legalized in California, but illegal to US government. Raich argued commerce illegal to US government. Raich argued commerce clause should not take effect because 1) there was no clause should not take effect because 1) there was no business transactions and 2) there were no state business transactions and 2) there were no state border issues.border issues.

Supreme Court ruled 6-3 against Raich saying that Supreme Court ruled 6-3 against Raich saying that the federal government could trump state laws the federal government could trump state laws that permitted medicinal marijuana. that permitted medicinal marijuana.

2 Federalisms?2 Federalisms?OLD SCHOOL – OLD SCHOOL – Dual FederalismDual Federalism

Federal and state governments remain Federal and state governments remain dominantdominant in their separate spheres of in their separate spheres of influenceinfluence

Gibbons v. Ogden proved life is not that Gibbons v. Ogden proved life is not that simplesimple

NEW SCHOOL – NEW SCHOOL – Cooperative FederalismCooperative FederalismState and Federal governments work State and Federal governments work

togethertogether to solve complex problems to solve complex problems

2 Federalisms2 Federalisms

TWO METAPHORS…TWO METAPHORS…

Dual Federalism – Layer CakeDual Federalism – Layer Cake

• Cooperative Federalism – Marble Cake

Federal

State

Grants-in-AidGrants-in-AidMoney paid from one level of government to Money paid from one level of government to

another to be spent for a specific purposeanother to be spent for a specific purpose

Categorical GrantsCategorical Grants - - target specific purposes target specific purposes and “strings attachedand “strings attached.” (States receive funds .” (States receive funds if state raised age to 21 and lowered BAC if state raised age to 21 and lowered BAC to .08)to .08)

Block GrantsBlock Grants – – given for broad, general given for broad, general purposespurposes and allow more discretion on how and allow more discretion on how the money is spent (ex. Welfare reform)the money is spent (ex. Welfare reform)

Federal Grant-in-Aid Outlays, 1940-Federal Grant-in-Aid Outlays, 1940-20052005

Fiscal FederalismFiscal FederalismFiscal means $Fiscal means $Q – How do you get the states to do things Q – How do you get the states to do things

they normally wouldn’t do?they normally wouldn’t do?A – MoneyA – Money

Q – What is the answer to any question Q – What is the answer to any question ever asked?ever asked?

A – MoneyA – Money

Fiscal FederalismFiscal FederalismFiscal Federalism continued…Fiscal Federalism continued…

The Scramble for Federal DollarsThe Scramble for Federal Dollars$300 billion in grants every year$300 billion in grants every yearUniversalism- a little something for everybodyUniversalism- a little something for everybody

The Mandate BluesThe Mandate BluesMandates are the “strings” attached to federal moneyMandates are the “strings” attached to federal moneyUnfunded mandates are requirements on state & local Unfunded mandates are requirements on state & local

governments- but no moneygovernments- but no money

MandatesMandatesA requirement that a state undertake an A requirement that a state undertake an

activity or provide a serviceactivity or provide a service

Most apply to Civil Rights and the Most apply to Civil Rights and the EnvironmentEnvironment

Often times the states or local gov’ts have Often times the states or local gov’ts have to pay the bill of the mandate set by to pay the bill of the mandate set by CongressCongress

MandatesMandates1986 – Asbestos Emergency Response Act, 1986 – Asbestos Emergency Response Act,

Handicapped Children’s Protection ActHandicapped Children’s Protection Act1988 – Drug-free Workplace Acts, Ocean 1988 – Drug-free Workplace Acts, Ocean

Dumping Ban ActDumping Ban Act1990 – Clean Air Act1990 – Clean Air ActEX – Columbus, OH spends 23% of the city EX – Columbus, OH spends 23% of the city

budget trying to meet environmental mandates budget trying to meet environmental mandates (including testing for pesticides used on rice (including testing for pesticides used on rice and pineapple)and pineapple)

EX – Public schools have to use Internet EX – Public schools have to use Internet filtering or schools lose e-rate subsidiesfiltering or schools lose e-rate subsidies

Understanding FederalismUnderstanding Federalism Advantages for Advantages for

DemocracyDemocracy Increasing access to Increasing access to

governmentgovernment

Local problems can be Local problems can be solved locallysolved locally

Hard for political parties / Hard for political parties / interest groups to interest groups to dominate ALL politicsdominate ALL politics

Disadvantages for Disadvantages for DemocracyDemocracy States have different States have different

levels of servicelevels of service

Local interest can Local interest can counteract national counteract national interestsinterests

Too many levels of Too many levels of government- too much government- too much moneymoney

Examples of FederalismExamples of Federalism

The Devolution RevolutionThe Devolution Revolution Devolution = delegation of power & Devolution = delegation of power &

responsibilityresponsibility Clinton Era reaction to growth in power of the national Clinton Era reaction to growth in power of the national

government due to Republican majority in both houses of government due to Republican majority in both houses of Congress Congress

President Clinton: responsibility to administer President Clinton: responsibility to administer federal programs as chief executivefederal programs as chief executive

SOH Gingrich: roll back scope of federal SOH Gingrich: roll back scope of federal government and give back of power to the government and give back of power to the statesstates

The Devolution RevolutionThe Devolution RevolutionContract with America: shift responsibilities Contract with America: shift responsibilities

to states;to states; Unfunded Mandate Reform Act of Unfunded Mandate Reform Act of 19951995

Gore’s Presidental Task Force on Reinventing Gore’s Presidental Task Force on Reinventing GovernmentGovernment - traditional Republican issue - traditional Republican issue

Federalism and the Supreme CourtFederalism and the Supreme CourtPoll after poll showed that Americans began to Poll after poll showed that Americans began to

think that the national government was too big, think that the national government was too big, too strong, and too distant to understand their too strong, and too distant to understand their concerns.concerns.

U.S. Supreme Court, once again, played a role U.S. Supreme Court, once again, played a role in interpreting this new form of federalism.in interpreting this new form of federalism.

Cases involving abortion, gun control, Cases involving abortion, gun control, environment, use of commerce clause, right to environment, use of commerce clause, right to sue. sue.

Summary – Key Points to RememberSummary – Key Points to Remember Federalism is an important concept of the American Federalism is an important concept of the American

system of government meant to limit the power of the system of government meant to limit the power of the national government.national government.

The notion of Federalism has changed drastically The notion of Federalism has changed drastically since the New Deal in the 1930’s.since the New Deal in the 1930’s.

In the 1960’s and 1970’s the scope of federal In the 1960’s and 1970’s the scope of federal domestic policies and programs increased steadily.domestic policies and programs increased steadily.

Summary – Key Points to Summary – Key Points to RememberRemember

In the 1980’s Reagan began a rollback of In the 1980’s Reagan began a rollback of federal funding for programs and funding federal funding for programs and funding to states.to states.

In the mid-1990’s Republican Congress In the mid-1990’s Republican Congress promised to reduce the size and scope of promised to reduce the size and scope of the national government and “return power the national government and “return power to the states.”to the states.”