FederalismFederalism

Chapter 3

Federalism DefinedFederalism DefinedFederalism - a system in which powers of

government are divided between a National Government and several regional or local governments. 10th

Amendment

Unitary Confederal

Federal

Federalism: Federalism: A Historical PerspectiveA Historical Perspective

The Philadelphia Convention in 1787 was supposed to fix the problems with the Articles of Confederation

Instead, a new Constitution was written combining features of a confederacy (a loose union of independent states) with a unitary system (one strong central government)

This federal system created two or more governments that exercise power and authority over the same people and the same territory

Federalism DefinedFederalism DefinedFederalism has been a contentious and

dynamic system.Federalism’s development has been

determined less by the nature of the original Constitutional language (or lack thereof) ...

than by the strength of contending interests and by the country’s changing needs.

Defining FederalismDefining Federalism

Why is Federalism So Important?– Decentralizes our politics

More opportunities to participate

– Decentralizes our policies Which government should take care of which

problem? States can solve the same problem in different ways.

The Constitutional Basis of The Constitutional Basis of FederalismFederalism

Delegated Powers of the Delegated Powers of the National GovernmentNational Government

Expressed Powers - clearly spelled out in the Constitution and given to the Federal Government.

Implied Powers - reasonably implied by the “necessary and proper clause” of the Constitution.

Inherent Powers - powers that belong to the sovereign state (U.S. Government).

Powers Denied to the Powers Denied to the National GovernmentNational Government

Expressly denied : the Federal Government can not ….

Denied by “silence” of the Constitution and therefore belong to the states.

Wethe

People

States: Governments of States: Governments of Reserved PowersReserved Powers

Reserved Powers - neither expressly given to the National government nor denied to the States (All local governments are sub-units of the States)

U.S.Constitution

to declare war

to coin money

immigration

to appoint ambassadors

to interpret laws

interstate commerce

to pass laws

health/education

voting

requirements

marriage

intrastate commerce

police

Tax

create courts

create laws

for the general welfare

FEDERAL STATESHARED

The Constitutional Basis of FederalismThe Constitutional Basis of Federalism

“This Constitution, and the Laws of the United States which shall be made in Pursuance thereof;

and all Treaties made, or which shall be made, under the Authority of the United States, shall be the supreme Law of the Land; and the Judges in every State shall be bound thereby, any Thing in

the Constitution or Laws of any State to the Contrary notwithstanding.”

Article VI

10th Amendment

“the powers not delegated to the United States by the Constitution, nor prohibited by it to the States, are reserved to the States respectively, or to the people”.

Puleaze!!!Don’t Even...

The Big Lie!Federalist NO. 45-

“The powers delegated by the proposed Constitution to the federal government are few and defined. Those which are to remain in the

State governments are numerous and indefinite.”

James Madison

Brevity of the ConstitutionBrevity of the Constitution

The Framers of the Constitution deliberately avoided detailed provisions in the document.

Instead, brief phrases give flexibility to the government they were creating.

The Constitution does not define what is meant by the Necessary and Proper Clause - Congress can make “all Laws necessary and proper for the carrying into Execution the foregoing Powers”.

Article I Section 8 Clause 18

Contending InterestsContending Interests and and CChanging Needshanging Needs..

Federalism Through the Federalism Through the YearsYears1787-1865: Federalism as National Supremacy

versus States’ RightsDuring the period from the adoption of the

Constitution to the end of the Civil War, the constitutional debate continued over the proper role of governments in the American system.

Main issue: Nation-centered vs. State-centered - can the Union survive?

Federalism Through the Years Federalism Through the Years The Doctrine of NullificationThe Doctrine of Nullification

Virginia-Kentucky Resolutions - authored by Jefferson and Madison in response to the Alien and Sedition acts, argued that States did not

have to obey laws passed by Congress

that the States thought were “unconstitutional”doctrine of states rights.

Marbury v Madison (1803) - the federal

courts have the authority to interpret & nullify

(declare unconstitutional) laws

Federalism Through the Years: Federalism Through the Years: The Marshall CourtThe Marshall Court

During the formative years of the republic,

Chief Justice John Marshall’s Supreme Court defended national supremacy with other decisions:

Fletcher v Peck (1810) - Supreme Court has the right to review/overturn a state law

McCulloch v Maryland (1819)- elastic clauseGibbons v Ogden (1824) Federal authority of

interstate commerce, not the scope of a state

The U.S. ConstitutionThe U.S. Constitution

McCulloch v Maryland - the Supreme Court decided “States have no power to retard, impede, burden, or in any manner, control the operation of the constitutional laws enacted by Congress”.

Edwin McCulloch, who was head cashier at the U.S. Bank in Maryland, refused to pay the tax Maryland placed on the Bank of the U.S. The resulting dispute reached the Supreme Court.

McCulloch v. MarylandMcCulloch v. Maryland

? Can a State tax an agency of the Federal Government?

? Is a Bank of the United States legal according to the Constitution?

No. A State can not tax an agency of the Federal government.

Yes. It is necessary and proper to infer that a government with the power to tax, borrow money, and regulate commerce could establish a bank in order to exercise those powers properly.?

Federalism Through the Years Federalism Through the Years The Doctrine of NullificationThe Doctrine of Nullification

In response to high tariffs during Jackson’s presidency, John C. Calhoun argued his theory of nullification, that each State had the constitutional right to nullify a national law.

The Civil War: The Civil War: The Greatest TestThe Greatest Test

The secession of the Southern States challenged the supremacy of the federal government; the ultimate decider of states’ rights versus federal authority

Federalism Through the YearsFederalism Through the YearsThe Great DepressionThe Great Depression

The Great Depression revealed that Americans had become a national community with national economic needs.

All States felt the economic woes of the Depression - States had

assumed the responsibility for welfare but they were penniless to render assistance.

Federalism Through the YearsFederalism Through the YearsThe Great DepressionThe Great Depression

The expansion of the Federal Government takes place when F.D.R. and the Congress implement the New Deal, which attempts to

“prime the pump”

of the economy.

Federalism Through the Years Federalism Through the Years The 1960sThe 1960s

During the 1960s under the Johnson Administration, the Great Society programs again expanded the range of federal activity at the state level with the goal of alleviating

poverty, particularly in urban areas.

Money from national government

to states: the carrot and stick approach.The Civil Rights Movement

Seventies and EightiesSeventies and Eighties

New Federalism- Richard Nixon- Revenue Sharing

Reagan Revolution- National Government as an enemy of the people

Federalism TodayFederalism TodayPresident Bush has campaigned with the promise of allowing

states to manage the affairs of people’s everyday lives…With the Federal government taking

a supportive role.The Federal government continues

to “suggest” paths for the states

to take with the promise of Federal

grants for education, health care and

other programs.

Obligations the Federal Obligations the Federal Government Has to the StatesGovernment Has to the States

Guarantee of a Republican Form of Government - a government in which people are represented through elections

Protection Against Invasion and Domestic Violence - An attack on the U.S. or a call from a State for help during a riot

Respect For Territorial Integrity - Recognize the legal existence and territorial boundary of a State

Admitting New States - Doing so without taking territory from an existing State.

The States Assists the The States Assists the Federal GovernmentFederal Government

National Elections - conduct elections,

paid with State and local funds.Naturalization of Citizens - the legal process

takes place in State Courts.Federal Fugitives – capture and

hold fleeing federal fugitives

for federal agents.

How Do Several of the How Do Several of the Constitution’s Provisions Constitution’s Provisions

Promote Cooperation Between Promote Cooperation Between and Among the States?and Among the States?

Interstate Compacts - Agreements among the States.Full Faith and Credit - Respect the validity of legal

documents and civil court proceedings of a State.Extradition - A fugitive from one State is returned to

the State where the crime was committed.Privileges and Immunities - a resident of one State

will not be discriminated against unreasonably by another State.

Dual FederalismDual FederalismConstitutional doctrine holds that certain policy areas, such as

interstate commerce

and defense, were the clear and

exclusive province of national authority.Other policy areas, such as

public heath and intrastate

commerce belonged clearly

and exclusively to the states.Referred to as layer cake federalism.

Cooperative FederalismCooperative Federalism

Marble Cake Federalism, rejects the idea of separate spheres or layers for the states and national government and promotes cooperation between federal and state governments:

Shared costsFederal guidelinesShared administration ; a fragmentation of

responsibility

Intergovernmental Relations Intergovernmental Relations TodayToday

Intergovernmental Cooperation: Intergovernmental Cooperation: Fiscal FederalismFiscal Federalism

Categorical Grants - Money from the Federal government to assist States carry out many of its functions - “strings attached”.

Block Grants - Money given by the Federal government to States for a broadly defined purpose - “strings attached”.

Revenue Sharing - a % of tax money is given to the States to distribute as they see fit.

Intergovernmental Cooperation: Intergovernmental Cooperation: Competitive FederalismCompetitive Federalism

Conditions of Aid - “with strings attached”-the Federal government gives Grants based

on a certain condition that must be

fulfilled by the StateMandates - the Federal government dictates what the States

must do - especially in areas of civil rights and the environment.

Unfunded mandates- are requirements on state & local governments- but no money

Intergovernmental Relations Intergovernmental Relations TodayToday

Federal Grants to State and Local Governments (Figure 3.1)

Understanding FederalismUnderstanding Federalism

Advantages for Democracy– Increasing access to

government– Local problems can

be solved locally– Hard for political

parties / 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- too much money

Understanding FederalismUnderstanding Federalism

Understanding FederalismUnderstanding Federalism

Federalism and the Scope of Government– Which level of government is best

able to solve the problem?– Which level of government is best

able to fund solutions to the problem?