CHAPTER 3.CHAPTER 3.FEDERALISM.FEDERALISM.

OPENING QUESTIONS:OPENING QUESTIONS:HOW DOES FEDERALISM INCREASE POLITICAL ACTIVITY?HOW DOES FEDERALISM INCREASE POLITICAL ACTIVITY?

HOW DOES THE “NECESSARY AND PROPER CLAUSE” AFFECT FEDERALISM?HOW DOES THE “NECESSARY AND PROPER CLAUSE” AFFECT FEDERALISM?

WHAT IS A REFERENDUM? GIVE AN EXAMPLE.WHAT IS A REFERENDUM? GIVE AN EXAMPLE.

WHAT IS FEDERALISM?

What is Federalism?

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A FEDERAL SYSTEM

Divides power between the national and lower level governments

Each government has distinct powers that the other governments cannot override.

Examples of federal systems: Australia, Brazil, Canada, Germany, India, Mexico, and the United States

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WHY FEDERALISM?

The authors of the Constitution wanted to combine a central government strong enough to maintain order with strong states.

The large geographical size of a country.

State governments have served as training grounds for national politicians and as laboratories in which new ideas can be tested.

Federalism allows for many political subcultures.

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THE FEDERAL SYSTEM

ADVANTAGESPermits diversity, diffusion

of power

Local governments can handle local problems

More access points for political participation

Protects individual rights

Fosters experimentation and innovation

Suits large country with diverse population

DISADVANTAGESMakes national unity difficult to

achieve, maintain

State governments may resist national policies

May permit economic inequality, racial discrimination

Law enforcement and justice are uneven

Smaller units may lack expertise and money

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POWERS OF THE NATIONAL GOVERNMENT

Enumerated Powers—specifically granted by the Constitution.Implied Powers—allow the national government to make decisions that fall outside the expressed powers. Inherent Powers—recognized by all sovereign nations.

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POWERS OF STATE GOVERNMENTS

10th Amendment: All powers that were not delegated to the national government belong to the statesIn theory, states still retain all powers not delegated to the national government, but in reality the national government has expanded the scope of governmental action on a grand scale.

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CONCURRENT POWERS

Concurrent Powers

Power toTax

Power To Make and

Enforce Laws

Power To Establish Courts

National Government

Power To Police

(Limited)

State Government

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PROHIBITED POWERS

Apply to both the national and state governments

• The national government is prohibited from taxing exports.

• State governments are prohibited from conducting foreign policy and from coining money.

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“Congress… has the power to coin money.”

SUPREMACY CLAUSE

Article VI of the Constitution mandates that actions by the national government are supreme.

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

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VERTICAL CHECKS AND BALANCES

Federalism can be seen as an additional way of preventing government from growing too strong, beyond the division of the national government into the legislative, executive, and judicial branches.

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INTERSTATE RELATIONS

Article IV of the Constitution attempts to resolve potential problems between states by stipulating the following:

• Full faith and credit clause—states must honor actions of other states

• Privileges and immunities

• Interstate extradition

• Interstate compacts

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LANDMARK CASES ON FEDERAL STATE RELATIONS

MCCOLLUGH V MARYLAND GIBBONS V OGDEN

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DEFINING CONSTITUTIONAL POWERSMcCulloch v. Maryland (1819) In 1816, Congress chartered The Second Bank of the United States. In 1818, the state of Maryland passed legislation to impose taxes on the bank. James W. McCulloch, the cashier of the Baltimore branch of the bank, refused to pay the tax.

Question: The case presented two questions: Did Congress have the authority to establish the bank? Did the Maryland law unconstitutionally interfere with congressional powers?

Conclusion: Decision: 7 votes for McCulloch, 0 vote(s) againstLegal provision: US Const. Art 1, Section 8 Clauses 1 and 18

In a unanimous decision, the Court held that Congress had the power to incorporate the bank and that Maryland could not tax instruments of the national government employed in the execution of constitutional powers.

Gibbons v. Ogden (1824)A New York state law gave two individuals the exclusive right to operate steamboats on waters within state jurisdiction. Laws like this one were duplicated elsewhere which led to friction as some states would require foreign (out-of-state) boats to pay substantial fees for navigation privileges. In this case a steamboat owner who did business between New York and New Jersey challenged the monopoly that New York had granted, which forced him to obtain a special operating permit from the state to navigate on its waters.

Question: Did the State of New York exercise authority in a realm reserved exclusively to Congress, namely, the regulation of interstate commerce?

Conclusion  Decision: 6 votes for Gibbons, 0 vote(s) againstLegal provision: US Const. Art 1, Section 8, Clause 3; Act of February 1793, Section 1, Clause 8

The Court found that New York's licensing requirement for out-of-state operators was inconsistent with a congressional act regulating the coasting trade. The New York law was invalid by virtue of the Supremacy Clause. In his opinion, Chief Justice Marshall developed a clear definition of the word commerce, which included navigation on interstate waterways. He also gave meaning to the phrase "among the several states" in the Commerce Clause. Marshall's was one of the earliest and most influential opinions concerning this important clause. He concluded that regulation of navigation by steamboat operators and others for purposes of conducting interstate commerce was a power reserved to and exercised by the Congress.

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States’ RightsThe Jacksonian Era (1829-1837) brings a shift back to States’ Rights

• Regulation of commerce was a major issue

• Tariffs generally benefitted northern industries

• Ultimately, South Carolina withdrew from the Union on December 20, 1860

• Six states met in February, 1861 to form Confederate States of America

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Constitutionality of slavery confirmed by Dred Scott case in 1857, holding the slaves were not citizens of the United States. Ultimately, the Civil War was a battle over states’ rights versus the supremacy of the federal government.

Post Civil War amendments represented a serious enhancement of national power.

• Abolishment of slavery

• Defined who was a U.S. citizen

• Attempted (with limited success) to provide rights to the freed slaves that included the right to vote.

POST CIVIL WAR

TYPES OF FEDERALISM

Types of Federalism <- clip

DUAL FEDERALISM

(LAYER CAKE)Dual Federalism was the belief of having separate

but equally powerful branches and levels of government, in which the state and national levels would both have a lot of power to balance each other out. Some ways in which this balance was achieved was by what is known as the concurrent powers. In these powers, the powers are shared between the state and federal government. However, as federalism and the nation evolved over time, these concurrent powers blurred and the distinction between them became less clear. This type of federalism is known as "layer cake federalism."

Emphasized dividing state and national spheres of power into entirely separate jurisdictions.

Part of the Supreme Court’s attempt to regain its powers after the Civil War.

• Defended state’s rights

• Limited national government power

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Dual federalism is commonly depicted as a layer cake, with the national government serving as the top layer and state governments as the bottom. Each layer is separate and distinct. National and state governments are seen as equal. After the Civil War, the Court generally supported dual federalism, defended states’ rights and limited the national government’s power.

TYPES OF FEDERALISMCOOPERATIVE FEDERALISM

(MARBLE CAKE)Cooperative Federalism was the belief of all the levels of

government working together cooperatively to achieve and solve common problems. This type of federalism was most popular in the 1930’s, following the Great Depression, and lasted up until the 1970’s. In this time period, miscommunication or power struggles between state and national government could not be afforded during the nation’s time of need. The nation needed the government to take control of the situation and fix the present problems, such as the economy. Government funded programs were implemented nationwide to attempt to fix the nation, such as the WPA and REA. As the central government needed a unified plan of action for all of America, certain boundaries that had typically been reserved for the states in the past had to be crossed. Because of this, the distinction between federal and state powers became less defined, resulting in what is known as “marble cake federalism”.

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TYPES OF FEDERALISM

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How does cake symbolize federalism? The two different cakes show two different types of federalism. The marble (swirly) cake signifies cooperative federalism, where the powers are not divided, but are shared by all levels of government. The layer cake represents duel federalism. The different layers symbolize the distinct, different powers the states' government and the national government have.

THE NEW DEAL AND COOPERATIVE FEDERALISM

New Deal legislation vs. Dual Federalism

Cooperative federalism emphasized an expanded role for the national government, and cooperation between the national government and the states.The severity of the Great Depression demanded action. Hoover (1929-1933) believed in dual federalism, and made unemployment and poverty local (state) issues. FDR’s administration enacted large-scale emergency programs, greatly expanding national authority. Although he met with initial resistance from the Supreme Court, Roosevelt’s failed “court-packing scheme” helped lessen the Court’s reluctance to expand the government’s role under the commerce clause.

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SHARE OF NONMILITARY SPENDING BY THE FEDERAL, STATE, AND LOCAL GOVERNMENTS BEFORE AND AFTER THE PASSAGE OF NEW DEAL LEGISLATION

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THE NEW DEAL AND COOPERATIVE FEDERALISM

Roosevelt’s programs typically were funded by the federal government, but administered by states and local governments, thus creating a cooperative framework for federalist relations.

Often called picket-fence federalism

The image of cooperative federalism is a marble cake, with the two “ layers” of authority intermingled. One example is the TANF program (Temporary Assistance to Needy Families) in which the national government provides a majority of funding, but state governments structure, staff and administer it.

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IMPLEMENTING COOPERATIVE FEDERALISM---Categorical Grants (The five largest categorical grants involve Medicaid, highway construction, unemployment benefits, housing assistance and welfare programs.)

----“Strings-Attached” Federal Grants

----Block Grants

----Federal Mandates

The NCLB (No Child Left Behind) Act restricts education funding to those schools meeting federal achievement benchmarks, an area traditionally left under state control.

The five largest categorical grants involve Medicaid, highway construction, unemployment benefits, housing assistance and welfare programs.

The NCLB (No Child Left Behind) Act restricts education funding to those schools meeting federal achievement benchmarks, an area traditionally left under state control.

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CHANGING FEDERAL GRANTS TO STATE AND LOCAL GOVERNMENTS

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FEDERAL GRANTS TO STATE AND LOCAL GOVERNMENTS, 2008 (IN BILLIONS OF DOLLARS)

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The No Child Left Behind Act was signed into law in 2002. It promised billions in aid to state education budgets if states were accountable to new federal education standards.

THE SHIFT TOWARD CENTRAL GOVERNMENT SPENDING

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THE POLITICS OF FEDERALISM

States’ rights have been associated with conservatism, and national authority has been associated with liberalism. Why?

The expansion of national authority has been associated with social change, usually a liberal purview. The national government has been more willing than state governments to initiate change, such as during the Civil War, when an expansion of national authority led to the end of slavery, or when New Deal policies intervened in a failing economy.

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ACCOMPLISHMENTS OF NATIONAL AUTHORITY

Economic relief

• The New Deal and Social Security

Civil rights and desegregation

War on Poverty

States favor the status quo

• More socially conservative on some issues

• Want to keep taxes low, attract business

• Local economic interests = local political influence

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FEDERALISM BECOMES A REPUBLICAN ISSUE

New Federalism: Beginning with President Richard Nixon (1969–1974), the Republican Party championed devolution, or the transfer of powers from the national government to the states. They called this policy federalism, a new use of the term.

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Gay Rights Protestors© 2004 AP/Wide World Photos

States’ Rights Put To Test

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CLOSER TO THE PEOPLE?

Responsiveness of government

• Is state or federal government more responsive to local needs?

• Most people have better understanding of national government

• Rising use of ballot initiatives

Protecting individual rights (federal or state role?)

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BEFORE 2016…

Donald Trump teases presidential campaign with Oprah in 1988

Hillary Clinton on SNL 10-3-15

Trump SNL Cold Open 10-3-15

Tina Fey Palin Amy Poehler Clinton Cold Open 2008

Palin Biden VP Debate 2008

SNL Palin Couric Interview

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