Federalism

Chapter 3

Three Basic Forms of Government Structures

Alternatives to FederalismUnitary Systems:

Puts all governmental power in the central government

Ex: Britain, France, Israel, and the Philippines.

Confederations: Sovereign nations create a constitutional compact but

carefully limited the power of the central government Ex: Articles of Confederation, The United Nations,

European Union

How is living at your house like Federalism?

• States are smaller units within the country

• "Laws" for the state are made by the state

• Federal laws is supreme to the state laws

• Allowances from federal government usually come with strings attached (if you want federal highway funding, you will raise the drinking age to 21).

• Federal government mandates "programs" and then does not fund the program.

• You own a ________ within the house

• Who makes the "rules" for YOUR room? ________

• Whose decisions outweigh your decisions? _______

• Your parents don't usually let you “go anywhere” without asking you to “do” something first

• What are your chores?" Do you get paid?

• Both you and your parents have assigned responsibilities, what are your responsibilities around the house? (Parental expectations)

• How does your family "share" the work-load?

• What do you and your parents argue about?

• Each room has different "rules" attached to it. What are the "rules" in each room?

• Can you think of any time when you came up with a solution and the family implemented it?

• Federal and State governments have separate responsibilities (Federal protects the country/economy, the states protect general welfare of the people within their state)

• A lot of programs are "shared" by both the federal and state.

• Both levels are constantly seeking to maintain "power"

• Every state makes laws that "fit" their state/people (snow chains in some, not in others).

• States try new programs, if they work at state level, they are brought up to the federal level.

Another Perfect Storm

Artist: Jeff Danziger Date: September, 2005 http://cartoonbox.slate.com/

States have their own laws…check these laws out

http://en.wikipedia.org/wiki/Gun_laws_in_the_United_States_(by_state)

So What is Federalism?

System of government in which powers are divided and shared by a central government and its sub-

divisional governments

What is Federalism? Defining Federalism: the

distribution of power between a central and sub-divisional governments

– the central government– the states– the local governments

• all share power to make, enforce, and interpret laws

What is Federalism? Both the state and federal

governments have substantial power and responsibility

– including the power to tax and enforce laws that regulate conduct of individuals.

What is Federalism? Both the federal

government and the state government get their power from a common source - the Constitution.

But the world “federalism” is not in the Constitution!!

Why Did Founders Choose Federalism? “Confederation”- tried and failed. “Unitary” government? Was out-of-the-

question!!! Founding Fathers were too attached to state governments (It was too much like England’s gov’t)

Federalism allows “Unity without Uniformity”– National politicians do not have to iron out every

difference on every issue that divides us. Issues are debated in the state legislatures, county courthouses, and city halls.

Benefits of Federalism

States can solve the same problem in different ways

Federalism “Encourages Experimentation”. State governments are laboratories for public policy experimentation. Negative effects are limited if proposals fail. If they succeed, they can be tried nationwide.

Benefits of Federalism

Federalism “Keeps Government closer to the People”

Keeps us close to the issues and gives us firsthand knowledge of what needs to be done.

We serve on boards and associations and on planning commissions locally.

May be more responsive to the problem than experts in Washington.

But…Many Negative Aspects of Federalism!

Constitutional Basis of Federalism Supremacy Clause (Art. VI)

– U.S Constitution, Laws of Congress, Treaties– Officials of the state as well as the nation are bound by constitutional

oath to support the Constitution. – States may not use their reserved powers to override national policies.

Yet, the 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.

Guarantees of the National government to the States

(Article 4 of the Constitution)

Republican form of government- at least one representative in the house and 2 Senators.

Protection from invasion- both foreign and domestic

Territorial integrity-can not divide the state-must recognize boundaries.

States’ Obligations to Each Other

Full Faith and Credit (Art IV)

Extradition

Constitutional Distribution of Powers

In Article I – Sec 8

Constitutional Distribution of Powers

Many are in stateconstitutions

Powers of the States

Reserved powers (10th Amendment)

– powers not granted to the national government are reserved for the states.

Concurrent Powers

Concurrent powers– powers that are shared by

both federal and state governments.

Examples include:– To tax, borrow money– To punish criminals– To provide public health,

education

Constitutional Distribution of Powers

(expessed power)(enumerated power)

Expansion of Federal (national) Powers

How Did Federal Gov. Establish Supremacy?

Remember the 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.

However, the Supreme Court took up TWO important cases that broadened national powers and establish federal supremacy over the states

How Did Federal Gov. Establish Supremacy?

McCulloch v. Maryland (1819) Gibbons v. Ogden (1824)

McCulloch v. Maryland (1819)

McCulloch v. Maryland (1819)- The State of Maryland levied a tax against the Baltimore branch of Bank of the United States (B. of U.S. was created by Congress)

McCulloch, the cashier of the bank refused to pay on the grounds that the state could not tax an institution of the national government.

McCulloch V. Maryland (1819)

Maryland argued that Congress DOES NOT have authority to create a bank (power not given to Congress by the Constitution)

Also the power to tax is a reserved power that all states have and the state of Maryland can use it as it see fit.

McCulloch V. Maryland (1819)

The Supreme Court under Chief Justice John Marshall addressed two IMPORTANT questions:

1. Does Congress have authority under the Constitution to create a national bank?

2. If so, can the state of Maryland tax a branch of the national bank within its own state borders?

McCulloch v. Maryland (1819)

The Constitution: Gave no explicit power to Congress to create a bank BUT, it gave Congress the power to make “all laws which shall be

necessary and proper” (Art I – Sec 8) to exercise its powers as specified in the Constitution.

Also gave Congress powers to “lay and collect taxes; borrow money; to regulate commerce”…

Ruling on Question #1:1. A national bank would be “necessary and proper” for Congress to

carry out the above listed/enumerated powers. Therefore, Congress has the power to create a national bank!“Necessary and proper” (Elastic Clause) => Implied Power

McCulloch V. Maryland

Ruling on Question #2:

2. Laws of Congress are supreme over state laws. If the U.S. Congress passed a law within its authority under the Constitution, a state legislature cannot pass a law to interfere with that action.

Chief Justice John Marshall said that “the power to tax is the power to destroy”. Therefore, the state of Maryland is not allowed to interfere with a legitimate power of Congress by “destroying” the national bank!

Gibbons v. Ogden (1824)

Background:– In 1808, the state of NY granted Aaron Ogden an monopoly

license to operate steamboat serves between NY and NJ.– But, Thomas Gibbons also competed against Ogden on this

same route. But Gibbons held a federal license issued by an act of Congress.

– Ogden sue Gibbons claiming he had exclusive right to offer the service. Gibbons disagreed arguing that the Constitution gave Congress the power to regulate interstate commerce (commerce between states).

– Case went to Supreme Court and was decided, again, by the Marshall Court in 1824.

Gibbons v. Ogden (1824)

Supreme Court Ruling:“…Few things were better know, than the immediate causes which led to the adoption of the present constitution…that the prevailing motive was to regulate commerce; to rescue it from the embarrassing and destructive consequences, resulting from the legislation of so many different States, and to place it under the protection of a uniform law”

Gibbons v. Ogden (1824)

Significance of this ruling:- Supreme Court using the “commerce clause” to expand power of the federal government.

- “commerce” does not just mean buying and selling of goods but renting, and transporting goods, services, and properties.

Why Did Powers Shifted from States to Federal Government?

1. The result of the Civil War (14th & 15th Amendments)2. The struggle for racial equality

Brown v. Board of Education (1954)

Why Did Powers Shifted from States to Federal Government?

Few aspects, if any, of our economy today affect commerce in only one state => federal government

increasingly EXERT its power over the states!

Intergovernmental Relations – How it Used to Be

Cooperative Federalism– DEFINITION: A system of government in which powers and

policy making are shared between states and national gov.– Like a marble cable

– Share costs and administration– States follow federal guidelines

Intergovernmental Relations Today

Fiscal Federalism– DEFINITION: the pattern of spending, taxing and

providing grants (money the federal gov. gives the state for many programs: education, transportation, social welfare, housing, homeland security, etc…). These are given to state AND local governments.

– Categorical Grants: federal money can be used for specific categories with strings attached

– Block Grants: federal money given more or less automatically to support broad programs

Federalism and Use of Grants

Congress authorizes programs and appropriates funds-they have deeper pockets than the states.

Their most potent tool for influencing policy at the state level has been through grants.

Example of Categorical Grants

See pdf files in folder

Unfunded Mandates

Sometimes, federal government forces states to do something without funding -> unfunded mandates

Real ID program: http://media.pearsoncmg.com/long/long_longman_media_1/2011_mpsl_video/abc_realid/player.html

Unfunded Mandates

American with Disabilities Act 1990

No Child Left Behind

Strings Attached to Funding

Strings Attached to Funding

Intergovernmental Relations Today

The Republican “Contract with America” called for devolution – transfer of political and economic powers to the states.

Inspired by Pres. Ronald Reagan: “Government is not the solution; it’s the problem.”

Understanding Federalism

Advantages for Democracy– Increases access to

government– Local problems can be

solved locally– Hard for political

parties or 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 and too much money

Adv./Disadvantages of Federalism?

Adv./Disadvantages of Federalism?

Adv./Disadvantages of Federalism?

Do We Have Too Much Governments?

Federalism and the Scope of Government-Why has the Federal Gov. grown so much?

1. As the U.S. has changed from agriculture to industry, new demands for government arose.

2. The national government answered with a national banking system, subsidies for railroads, and airlines and a host of other policies created to expand the economy.

3. The formation of large corporations led to abuses and many groups asked the national government to regulate and encourage open competition.

4. Farmers also sought services such as price supports5. Unions sought better working conditions, better pay, trade

restrictions.

Federalism and the Scope of Government-Why has the Federal Gov. grown so much?

6. As we urbanized, we’ve had new problems in housing, education, transportation, and the environment.

7. The states lack the resources and authority to deal with such enormous problems. How do you deal with pensions for people who move from state to state if the states were responsible for something like social security? How do deal with environmental pollution if each state were to have separate laws?

8. We, the American public have demanded that the national government take up the issues of the country because we know that the federal government has the resources and power to do so.

9. Over the years, the U.S. has moved from dual to cooperative federalism to fiscal federalism.