Federalism - Florida State Universitymyweb.fsu.edu/jnl08/resources/Government/Federalism.pdf ·...

Federalism

John N. Lee

Florida State University

Summer 2010

John N. Lee (Florida State University) Federalism Summer 2010 1 / 23

Styles of government

1 Unitary Government − “A system of government in which a singlegovernment unit holds the power to govern the nation (KGK, 794).”

By far the most common.Lower levels of government created exclusively by upper levels ofgovernment.

2 Federalism − “A system of government in which power is dividedbetween a central government and several regional governments(KGK, 784).”


Characteristics of Federalist Interactions

1 “The same people and territory included in both levels of government(KGK, 100).”

2 Independence − “The nation’s constitution protects units at eachlevel of government from encroachment by the other units (KGK,100).”

3 “Each unit is in a position to exert some leverage over the other(s)(KGK, 100).”


Federalism in the United States

United States is a two−level federalist system.

The constitution prescribes that the federal government and thestates are the two units of government.

Some argue that the United States is a three-level federalist system. Thatthe local governments comprise the third layer.

Clinton v. Cedar Rapids and Missouri River R.R. (1868) − Iowasupreme court decision which ruled that local governments areexclusively the creation of the state governments and thus do notcomprise a third unit.


Types of Federalism in the U.S.

1.) Dual Federalism − National and state governments preside overmutually exclusive spheres of influence.

In the Federalist No. 45 Madison argues for Dual Federalism.1

2.) Cooperative Federalism − “...the people, not the states, created andanimated the federal government. This view holds that the SupremacyClause and the Necessary and Proper Clause, not the Tenth Amendment,would control the balance of power between the federal government andthe states (Epstein et al, 325).”

1Madison argues that there are two safeguards to national tyranny. First, the Senatewas elected by the state legislatures. Second, the tenth amendment. See furtherdiscussion in these slides.John N. Lee (Florida State University) Federalism Summer 2010 5 / 23

Types of Federalism in the U.S.

3.) New Judicial Federalism − “...this doctrine refers to the renewedwillingness of state courts to rely only on state law, especially estateconstitutional law, when deciding cases involving individual rights (Epsteinet al, 326).”

Michigan v. Long (1983) −

Supreme Court overturn state Supreme Court decision which was basedon federal law.Supreme Court also rules that state decisions should not be reviewed ifthey are based on state law.

Did Bush v. Gore (2000) revise Michigan v. Long (1983)?


Sources of National Power

1 Necessary and Proper Clause − Allows congress to pass laws whichare implied by their enumerated powers.

2 Tenth Amendment − “Reserves to the states or to the people onlypower that has not been delegated (expressly or otherwise) toCongress (Epstein et al, 330).”

3 Supremacy Clause − “[P]laces the national government at the topwithin its sphere of operation (Epstein et al, 330).”


The Marshall Court and Cooperative Federalism

McCulloch v. Maryland (1819) −

1 Congress can pass legislation under the authority of implied powers.

This power is only bounded by the following condition. “Let the end belegitimate, let it be within the scope of the constitution, and all meanswhich are appropriate which are plainly adapted to that end, which arenot prohibited, but consist with the letter and spirit of the constitutionare constitutional.”

2 Tenth Amendment is no impediment to national authority.3 Supremacy Clause puts the federal government at the top of its sphere

and because No 1 is expansive this sphere is very large.


The Taney Court and Dual Federalism

Scott v. Sanford (1857) −

1 Background:

Scott is a slave who spent time in a free state. His owner sued forScott’s emancipation.

2 Ruling:

Citizens are not subjects of the United States rather the individualstates they reside in.Congress did not have the authority to regulate slavery.Status of slaves depends on the laws of the state where they voluntarilyreturned.


Dual Federalism and Laissez Faire Economics

(1890’s−1930’s)

Hammer v. Dagenhart (1918) −

Supreme Court strikes down anti-child labor law.Supreme Court rules that the trade of products which result from childlabor is interstate commerce.Supreme Court rules that law violated the states’ abilities to policethemselves.

During this period the Supreme Court was principally concerned withprotecting the laissez faire economic system.

Laissez Faire Economic System − Little government control overthe economy.


(Re) Emergence of National Supremacy: Cooperative

Federalism

United States v. Darby Lumber (1941) −

Background:

Dealt with federal law (Fair Labor Standards Act) requiring minimumwage and weekly hourly work maximums.

Ruling:

Overruled Hammer v. Dagenhart (1918).Ruled that the Tenth Amendment could not be used for states’ rightsin the face of federal action.



Federalism

National League of Cities v. Usery (1976) −

Background:

Dealt with Fair Labor Standards Act (again) which had been extendedto cover employees of the states.

Ruling:

The Supreme Court ruled that the Tenth Amendment prohibitedCongress from regulating state employees performing traditionalgovernmental function (e.g. states can decide how much to pay theirown employees).



Federalism

Garcia v. San Antonio Metropolitan Transit Authority (1985) −Background:

Case arouse when SAMTA refused to follow the Fair Labor StandardsAct.

Ruling:1 Supreme Court ruled that the traditional governmental function test

was insufficient since it was hard to define.2 Supreme Court ruled that the Fair Labor Standards Act applied to

state employees.


Dual Federalism Returns (1990-Present)

New York v. United States (1992) − Supreme Court strikes downprovisions of the Low Level Radioactive Waste Policy Act whichrequire states to pass legislation to fulfill their obligations under theact.

Printz v. United States (1997) − Supreme Court rules theprovision of the Brady Handgun Violence Prevention Act whichrequires local officials to run background checks on gun buyers isunconstitutional (that the federal government cannot undertake thisaction).


Federal Influence over States

Preemption Legislation − “Laws passed by Congress that overrideor preempt states or local policies (KGK, 790).”

This power is derived from the Supremacy Clause.Not used very frequently.


Federal Influence over States

Two Broad Ways Federal Government Influences State Governments1 Carrots − Financial inducements given by the federal government to

encourage specified state actions.2 Sticks − Laws penalizing states for not taking actions the federal

governments want them to take.


Federal Influence over States − The Carrots

Grants−In−Aid − “Funds given by Congress to State or localgovernments for a specific purpose (KGK, 786).”


Types of Federal Grants−In−Aid

1 Block Grant − “A broad grant of money given by the federalgovernment to a state government. The grant specifies the generalarea in which the funds may be spent but, leaves it to the state todetermine the specific allocation (KGK, 783).”

2 Matching Grant − “A grant of money given by the federalgovernment to a state government for which the federal governmentprovides matching funds, usually between one and two dollars, forevery dollar the state spends in some area (KGK, 788).”


Federal Influence over States − The Sticks

Four methods Federal Government uses to prescribe

state policy and control its administration.

1.) Cross−cutting Requirements − “[S]tatutes that apply certain rulesand guidelines to a broad area of federally subsidized state programs(KGK, 132).”2.) Crossover Sanctions − Legislation which “stipulates that a state, toremain eligible for full federal funding for one program, must adhere to theguidelines of an unrelated program (KGK, 132).”

E.g. Highway funding in exchange for states lowering the drinkingage.



Four methods Federal Government uses to prescribe

state policy and control its administration.

3.) Direct Orders − “Regulations that can be enforced by legal and civilpenalties (KGK, 132).”4.) Partial Preemption − “[C]ertain federal laws allow the states toadminister joint federal-state programs so long as they conform to federalguidelines (KGK, 132).”



Unfunded Mandates − Federal Government directs to state andlocal governments for increased policy with no money provided.

Large temptation for federal officials to use these types of policies sincethey get the policy they desire and spend no money in the process!Unfunded Mandates Reform Act (1995) − “[R]equired that newfederal laws pay for the programs and regulations they impose on thestates (KGK, 134).”

Unfortunately this law has had little impact.


Federal Preemptions - Foreign Affairs

Federal Government can preempt state laws when actions deal withforeign affairs.

1 State of Missouri v. Holland (1920) −

In 1913 Congress passes law to regulated migratory birds in Missouri.This law is later struck down as unconstitutional.Three years later U.S. and U.K. enter into treaty to regulate migratorybirds. Congress follows this act with Migratory Bird Treaty Act (1918),which is similar to the first law.Supreme Court rules that second law is constitutional since it has to dowith the federal governments enforcement of a power related to foreignrelations.


Why Choose Federal Government to make Policy?

1 Lobbying the federal government is easier than lobbying the individualfifty states.

2 It avoids heterogenous state policies.

3 When a group or individual’s state of residence opposes the policythey are pushing.


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