Transcript Chapter 3

Chapter 3
Federalism
An Overview of U.S. Federal System
-Federal System: a governmental structure with
two levels of government and in which each
level has sovereignty over different policy
matters.
-Sovereignty: having ultimate authority to
govern.
-Dual Sovereignty: the existence of two
governments each with authority over different
matters at the same time.
Unitary System





Colonist experienced this from 1781-1788
Most world nations still live under a unitary
government.
Unitary System: a governmental structure in which
one central government has sovereignty, although it
may create regional governments to which it
delegates responsibilities.
This system can make/delete regional governments.
Ex: colonial governments running day to day
operations for the crown.
Confederal System


Confederal System: a structure of government
in which several independent sovereign
governments agree to cooperate on specified
governmental matters while retaining
sovereignty over all other matters in their
jurisdictions.
In 1776 each state ruled its own jurisdiction by
its own constitution.
Confederal System



In 1777 all the states met in PA except RI to
agree on an alliance and in 1781 the Articles of
Confederation united them in a loose union.
The states agreed to work with each other on
matters but made their own rules and governed
themselves.
Each State would select their own
Representatives to the central government
body.
Confederal System

The State governments retain the ultimate
authority over the central government and at
any time they can carry out or ignore the
central governments policies.
Federal System




In Philadelphia in 1787 the Framers drafted a new
constitution that laid out dual sovereignty.
This would make a new national government that
coincided with the already formed state governments.
The framers stated that the constitution would be the
boundaries for the national government and anything
not covered in it was left up to the states.
Please see figure 3.1 on pg.99
Federal System




This system can become very confusing for
everyone involved in it.
We have one national gov. w/ fifty state gov.,
with more than 89,000 local gov.
State constitutions are the guidelines for the
state and authorize the creation of local gov.
The state delegate some of the responsibilities
to local gov. through charters, which is a local
gov. form of a constitution.
Federal System


At the same point state gov. can take back the
powers granted to the local gov. or even
eliminate the local gov.
The state has a unitary system of gov. over the
local gov. Thus the state controls all of the
power and can eliminate the local gov. at any
point.
Intergovernmental Relations (IGR)




IGR: collaborative efforts of two or more levels of
gov. working to serve the public.
For the gov. to run it must have the ability to tax and
spend money, have a plan of action, and hire workers
to carry out that plan.
The responsibility for these three elements rest in
public policy, policy financing, and policy
implementation.
These can rest with one part of the gov (national,
state, and local) or rest between all of them.
IGR







Example: Schools
Constitution give states the power to make school
districts.
State gives power to local government to raise money
for the schools through local taxes. Also state gives
grant money to local schools.
Teachers have to be certified by the state to teach.
States must implement Title VI and IX
State curriculum must be put in place along with state
testing.
Please look at figure 3.2 pg 101.
What does Federal System mean for
citizens



Five categories of gov: national, state, county
(borough or parish), municipality (township)
and district.
All of these can impose responsibilities on
their people. Ex: taxes
Each government can guarantee personal
liberties. Ex: non discrimination of sexual
orientation.
What does Federal System mean for
citizens



Some Citizens must fulfill duties before given
full rights: Males signing up for the draft.
Penalties not signing up for the draft.
Since Marbury vs. Madison, the SC
interpretation of the constitution has been more
in favor of the national gov. and expanded its
power.
Concurrent Sovereign Authority



Concurrent Powers: basic governing functions
of all sovereign governments. This will held
by the national and local governments.
Powers are to tax, make policy, implement
policy and exercise eminent domain.
Eminent domain: the authority of the
government to compel a property owner to sell
private property to gov. for public good.
National Sovereignty



The constitution mentions certain powers in Article I:
Enumerated powers: the powers of the national
government that are listed in constitution.
Implied powers: powers of the national government
that are not enumerated in the Constitution but
congress claims are necessary and proper for national
government to fulfill the necessary and proper clause
of the constitution.
National Sovereignty



Necessary and proper clause( Elastic Clause):
a clause in Article I, section 8 of the
Constitution that gives congress the power to
do it whatever it deems necessary to meet
enumerated obligations; the basis for the
implied powers.
Article II and III give enumerated powers to
president and court system.
Figure 3.3 pg 104
The Supremacy Clause


Supreme law of the land: Constitutions own
authority, meaning laws made by the
governments must be compliant to the
Constitution.
Article IV makes the Constitution, treaties and
other laws the law of the land. This is known
as the Supremacy Clause.
National Treaties with Indian
Nations




Treaties made with the Natives still hold true today as
law of the land.
The core obstacle in most is land rights
(reservations).
The US government recognizes 550 Indian tribes and
300 of those still live on reservations in 34 states.
Only National laws apply to the reservations.
Powers Delegated To The States




Only a few state powers are mentioned in the
Constitution.
States must hold elections for the federal
government. (HR and Senate).
Vote for electoral college electors
Make amendments to the constitution by ¾ of
the states approval.
Powers Reserved To The States



10th amendment: powers not delegated to the
US by the Constitution nor prohibited are
reserved for the state. These are known as
reserved powers.
These include daily affairs: birth, death,
marriage, business, crime, health, morals, and
safety. (police powers)
Figure: 3.4 pg 105
McCulloch v. Maryland



This case established the use of implied powers to
expand the national govs. delegated authority.
The state of Maryland argued that they had a right to
tax the national gov. for using its notary paper and
that setting up a national bank was unconstitutional.
McCulloch (national gov) argued that it was an
implied power to set up a national bank and that
taxing the federal gov. was unconstitutional.
McCulloch v. Maryland



The Supreme Court ruled in favor of the
national government.
It stated it was constitutional to set up a
national bank under the enumerated power of
levy taxes, borrow money, and regulate
commerce.
It also ruled that Maryland's taxation of the
federal gov. was unconstitutional because it
interfered with federal authority.
The Power To Regulate Commerce





Gibbons v. Ogden
The case dealt with implications of enumerated
powers.
The case was seeking clarification for the word
Commerce. This issue dealt specifically with the
regulation of interstate commerce.
The boats on the waterways between NY and NJ were
being regulated by the states. Only the national gov.
has the right to regulate navigation, not the states.
The court made a broad definition and said all
business dealings are considered interstate commerce.
The Power To Provide For General
Welfare

This enumerated power has grown over time
specifically during the Great Depression. Ex:
S.S. Act of 1935.

In 1937 the S.C. had to determine was S.S. a
national gov. issue or a state issue.
National Obligations To The States






Hurricane Katrina and the FEMA relief was a disaster . The
local, state, and national government were blamed for not
working together.
Must treat states equal in matters of trade and commerce.
Can not make a new state out of property on old state w/o
the legislatures consent.
Can not change state boundaries w/o state legislatures
consent.
Must guarantee a republican form of gov.
Must protect states from foreign and domestic violence at
their request.
State to State Obligations





Article IV sets out Horizontal Federalism: state to
state relationships.
States have the right to forge interstate compacts with
each other.
Extradition must be followed by the states.
Each state must provide the same privileges and
immunities to other citizens visiting their state.
Each state must follow the full faith and credit clause,
meaning follow all legal documents.
The New Judicial Federalism


New Judicial Federalism: the practice whereby
a state judges base decisions regarding civil
liberties on state constitutions instead of US
Constitution.
Pruenyard shopping center and Fred Sahadi v.
Michael Robins.
Dual Federalism


The relationship between the national and state
governments, dominate between 1789 and
1932. Each gov. functioned independently of
each other to address their own issues.
Courts usually favored states in court cases
Cooperative Federalism


The relationship between the nation and state
governments work together to address
domestic issues reserved for the states, driven
by state policy. Ex: New Deal and Great
Depression.
Grant in aid: transfer of money from one gov.
to another without needing to be paid back.
Centralized Federalism




The relationship between nation and state gov.
whereby the national gov. imposes its policy
on the state gov.
Ex: LBJ was a supporter of this.
Nixon was against it.
Nixon and Reagan wanted devolution, which
is the return of policy to state and local gov.
Conflicted Federalism

The current status of the national state
relations that has elements of dual and
cooperative federalism with an overall
centralized tendency at the same time that
elements of policy are devolved.
Civil War and Post War
Amendments

The 10th amendment is probably the most
important regarding national and state
sovereignty but three others have expanded
that relationship.

13th,14th, 16th, 17th these are the civil war
amendments.
14th Amendment




Ensures that state gov. follow due process
before taking life, liberty, and property of
another person.
Congress and President have approved
national law to ensure the states follow it.
This insures that all gov. buildings protect
these rights this includes individuals with
disabilities.
Ex: Gore v. Bush
16th Amendment




This enhances the gov. ability to raise money.
It allows congress to collect income taxes from
workers and cooperation's without appointing
these taxes among the states on the basis of
population.
These allows the gov. to have a ton of money.
Can use this money as leverage over state and
local gov. to enforce or encourage policies
Ex: drinking age.
17th Amendments



This amendment now allows the popular vote
to elect the senators not the state legislators.
This allows the senators not to be directly
accountable to the state legislatures.
Thus state govs. lost direct access to national
policy makers.
Further Evolutionary Landmarks

In 1837 the national gov. shared its revenue
surplus with the states in the form of money
grants.

This really did not take affect until Great
Depression.
Grants



Categorical formula grant: money granted by
the national gov. to the state and local govs. for
specified program area and in an amount based
on legislated formula.
These usually come with rules and regulations
attached which the recipient must comply
with.
Medicaid is an example
Grants

Categorical project grant: money granted by
the national gov. to states and local govs. For
specified program area of recipients compete
by proposing specific projects they want to
implement.
Grants


Block Grants: money granted by the national
gov. to the states or local for broadly defined
policy areas with fewer strings than a
categorical grants and in amounts based on
complicated formulas.
Ex: would be a wic program for families with
children that are in need.
Grants



In 1923 Mass. V. Mellon the court ruled national
grants aid to be constitutional and are voluntary. If
the state accepts the money than they have to follow
the guidelines.
SD. V. Dole: Courts ruled nation could not impose a
national drinking age but could encourage it.
Over time intergovernmental lobbying has grown.
This is efforts by groups rep. state and local gov. to
influence national public policy.
Mandates





These court decisions allow mandates to occur:
The necessary and proper clause (article I
sec.9)
National Supremacy clause (article IV)
General welfare clause (article I sec.8)
Reg. of interstate commerce clause (article I
sec.8)
Mandates




Mandates are clauses in legislation that direct
state and local governments to comply with
national legislation and national standards.
National gov. covers it: funded mandate
State and local gov. cover it : unfunded
Ex: ADA Act of 1990
Preemption

Its constitutionally based principal that allows
a national law to supersede state and local.

Partial preemption: the authority of the
national government to establish minimum
regulatory standards that provide state and
local governments the flexibility either to
enforce the national standards or establish their
own stringent which they must enforce.