Chapter 3

Chapter 3Chapter 3

FederalismFederalism

An Overview of U.S. Federal SystemAn Overview of U.S. Federal System

-Federal System: a governmental structure with -Federal System: a governmental structure with two levels of government and in which each two levels of government and in which each level has sovereignty over different policy level has sovereignty over different policy matters.matters.

-Sovereignty: having ultimate authority to -Sovereignty: having ultimate authority to govern.govern.

-Dual Sovereignty: the existence of two -Dual Sovereignty: the existence of two governments each with authority over different governments each with authority over different matters at the same time.matters at the same time.

Unitary SystemUnitary System

Colonist experienced this from 1781-1788Colonist experienced this from 1781-1788 Most world nations still live under a unitary Most world nations still live under a unitary

government.government. Unitary System: a governmental structure in which Unitary System: a governmental structure in which

one central government has sovereignty, although it one central government has sovereignty, although it may create regional governments to which it may create regional governments to which it delegates responsibilities.delegates responsibilities.

This system can make/delete regional governments.This system can make/delete regional governments. Ex: colonial governments running day to day Ex: colonial governments running day to day

operations for the crown. operations for the crown.

Confederal SystemConfederal System

Confederal System: a structure of government Confederal System: a structure of government in which several independent sovereign in which several independent sovereign governments agree to cooperate on specified governments agree to cooperate on specified governmental matters while retaining governmental matters while retaining sovereignty over all other matters in their sovereignty over all other matters in their jurisdictions.jurisdictions.

In 1776 each state ruled its own jurisdiction by In 1776 each state ruled its own jurisdiction by its own constitution.its own constitution.

Confederal SystemConfederal System

In 1777 all the states met in PA except RI to In 1777 all the states met in PA except RI to agree on an alliance and in 1781 the Articles agree on an alliance and in 1781 the Articles of Confederation united them in a loose union.of Confederation united them in a loose union.

The states agreed to work with each other on The states agreed to work with each other on matters but made their own rules and governed matters but made their own rules and governed themselves.themselves.

Each State would select their own Each State would select their own Representatives to the central government Representatives to the central government body.body.

Confederal SystemConfederal System

The State governments retain the ultimate The State governments retain the ultimate authority over the central government and at authority over the central government and at any time they can carry out or ignore the any time they can carry out or ignore the central governments policies.central governments policies.

Federal SystemFederal System

In Philadelphia in 1787 the Framers drafted a new In Philadelphia in 1787 the Framers drafted a new constitution that laid out dual sovereignty.constitution that laid out dual sovereignty.

This would make a new national government that This would make a new national government that coincided with the already formed state governments.coincided with the already formed state governments.

The framers stated that the constitution would be the The framers stated that the constitution would be the boundaries for the national government and anything boundaries for the national government and anything not covered in it was left up to the states.not covered in it was left up to the states.

Please see figure 3.1 on pg.99Please see figure 3.1 on pg.99

Federal SystemFederal System

This system can become very confusing for This system can become very confusing for everyone involved in it.everyone involved in it.

We have one national gov. w/ fifty state gov., We have one national gov. w/ fifty state gov., with more than 89,000 local gov.with more than 89,000 local gov.

State constitutions are the guidelines for the State constitutions are the guidelines for the state and authorize the creation of local gov.state and authorize the creation of local gov.

The state delegate some of the responsibilities The state delegate some of the responsibilities to local gov. through charters, which is a local to local gov. through charters, which is a local gov. form of a constitution.gov. form of a constitution.

Federal SystemFederal System

At the same point state gov. can take back the At the same point state gov. can take back the powers granted to the local gov. or even powers granted to the local gov. or even eliminate the local gov.eliminate the local gov.

The state has a unitary system of gov. over the The state has a unitary system of gov. over the local gov. Thus the state controls all of the local gov. Thus the state controls all of the power and can eliminate the local gov. at any power and can eliminate the local gov. at any point.point.

Intergovernmental Relations (IGR)Intergovernmental Relations (IGR)

IGR: collaborative efforts of two or more levels of IGR: collaborative efforts of two or more levels of gov. working to serve the public.gov. working to serve the public.

For the gov. to run it must have the ability to tax and For the gov. to run it must have the ability to tax and spend money, have a plan of action, and hire workers spend money, have a plan of action, and hire workers to carry out that plan.to carry out that plan.

The responsibility for these three elements rest in The responsibility for these three elements rest in public policy, policy financing, and policy public policy, policy financing, and policy implementation.implementation.

These can rest with one part of the gov (national, These can rest with one part of the gov (national, state, and local) or rest between all of them.state, and local) or rest between all of them.

IGRIGR Example: SchoolsExample: Schools Constitution give states the power to make school Constitution give states the power to make school

districts.districts. State gives power to local government to raise money State gives power to local government to raise money

for the schools through local taxes. Also state gives for the schools through local taxes. Also state gives grant money to local schools.grant money to local schools.

Teachers have to be certified by the state to teach.Teachers have to be certified by the state to teach. States must implement Title VI and IXStates must implement Title VI and IX State curriculum must be put in place along with state State curriculum must be put in place along with state

testing.testing. Please look at figure 3.2 pg 101.Please look at figure 3.2 pg 101.

What does Federal System mean for What does Federal System mean for citizenscitizens

Five categories of gov: national, state, county Five categories of gov: national, state, county (borough or parish), municipality (township) (borough or parish), municipality (township) and district.and district.

All of these can impose responsibilities on All of these can impose responsibilities on their people. Ex: taxestheir people. Ex: taxes

Each government can guarantee personal Each government can guarantee personal liberties. Ex: non discrimination of sexual liberties. Ex: non discrimination of sexual orientation.orientation.

What does Federal System mean for What does Federal System mean for citizenscitizens

Some Citizens must fulfill duties before given Some Citizens must fulfill duties before given full rights: Males signing up for the draft.full rights: Males signing up for the draft.

Penalties not signing up for the draft.Penalties not signing up for the draft. Since Marbury vs. Madison, the SC Since Marbury vs. Madison, the SC

interpretation of the constitution has been interpretation of the constitution has been more in favor of the national gov. and more in favor of the national gov. and expanded its power.expanded its power.

Concurrent Sovereign AuthorityConcurrent Sovereign Authority

Concurrent Powers: basic governing functions Concurrent Powers: basic governing functions of all sovereign governments. This will held of all sovereign governments. This will held by the national and local governments. by the national and local governments.

Powers are to tax, make policy, implement Powers are to tax, make policy, implement policy and exercise eminent domain.policy and exercise eminent domain.

Eminent domain: the authority of the Eminent domain: the authority of the government to compel a property owner to sell government to compel a property owner to sell private property to gov. for public good.private property to gov. for public good.

National SovereigntyNational Sovereignty

The constitution mentions certain powers in Article I:The constitution mentions certain powers in Article I: Enumerated powers: the powers of the national Enumerated powers: the powers of the national

government that are listed in constitution.government that are listed in constitution.

Implied powers: powers of the national government Implied powers: powers of the national government that are not enumerated in the Constitution but that are not enumerated in the Constitution but congress claims are necessary and proper for national congress claims are necessary and proper for national government to fulfill the necessary and proper clause government to fulfill the necessary and proper clause of the constitution.of the constitution.

National SovereigntyNational Sovereignty

Necessary and proper clause( Elastic Clause): Necessary and proper clause( Elastic Clause): a clause in Article I, section 8 of the a clause in Article I, section 8 of the Constitution that gives congress the power to Constitution that gives congress the power to do it whatever it deems necessary to meet do it whatever it deems necessary to meet enumerated obligations; the basis for the enumerated obligations; the basis for the implied powers.implied powers.

Article II and III give enumerated powers to Article II and III give enumerated powers to president and court system.president and court system.

Figure 3.3 pg 104Figure 3.3 pg 104

The Supremacy ClauseThe Supremacy Clause

Supreme law of the land: Constitutions own Supreme law of the land: Constitutions own authority, meaning laws made by the authority, meaning laws made by the governments must be compliant to the governments must be compliant to the Constitution.Constitution.

Article IV makes the Constitution, treaties and Article IV makes the Constitution, treaties and other laws the law of the land. This is known other laws the law of the land. This is known as the Supremacy Clause.as the Supremacy Clause.

National Treaties with Indian National Treaties with Indian NationsNations

Treaties made with the Natives still hold true today as Treaties made with the Natives still hold true today as law of the land.law of the land.

The core obstacle in most is land rights The core obstacle in most is land rights (reservations).(reservations).

The US government recognizes 550 Indian tribes and The US government recognizes 550 Indian tribes and 300 of those still live on reservations in 34 states.300 of those still live on reservations in 34 states.

Only National laws apply to the reservationsOnly National laws apply to the reservations. .

Powers Delegated To The StatesPowers Delegated To The States

Only a few state powers are mentioned in the Only a few state powers are mentioned in the Constitution.Constitution.

States must hold elections for the federal States must hold elections for the federal government. (HR and Senate).government. (HR and Senate).

Vote for electoral college electorsVote for electoral college electors Make amendments to the constitution by ¾ of Make amendments to the constitution by ¾ of

the states approval.the states approval.

Powers Reserved To The StatesPowers Reserved To The States

1010thth amendment: powers not delegated to the amendment: powers not delegated to the US by the Constitution nor prohibited are US by the Constitution nor prohibited are reserved for the state. These are known as reserved for the state. These are known as reserved powers.reserved powers.

These include daily affairs: birth, death, These include daily affairs: birth, death, marriage, business, crime, health, morals, and marriage, business, crime, health, morals, and safety. (police powers)safety. (police powers)

Figure: 3.4 pg 105Figure: 3.4 pg 105

McCulloch v. MarylandMcCulloch v. Maryland

This case established the use of implied powers to This case established the use of implied powers to expand the national govs. delegated authority.expand the national govs. delegated authority.

The state of Maryland argued that they had a right to The state of Maryland argued that they had a right to tax the national gov. for using its notary paper and tax the national gov. for using its notary paper and that setting up a national bank was unconstitutional.that setting up a national bank was unconstitutional.

McCulloch (national gov) argued that it was an McCulloch (national gov) argued that it was an implied power to set up a national bank and that implied power to set up a national bank and that taxing the federal gov. was unconstitutional.taxing the federal gov. was unconstitutional.

McCulloch v. MarylandMcCulloch v. Maryland

The Supreme Court ruled in favor of the The Supreme Court ruled in favor of the national government.national government.

It stated it was constitutional to set up a It stated it was constitutional to set up a national bank under the enumerated power of national bank under the enumerated power of levy taxes, borrow money, and regulate levy taxes, borrow money, and regulate commerce.commerce.

It also ruled that Maryland's taxation of the It also ruled that Maryland's taxation of the federal gov. was unconstitutional because it federal gov. was unconstitutional because it interfered with federal authority.interfered with federal authority.

The Power To Regulate CommerceThe Power To Regulate Commerce

Gibbons v. OgdenGibbons v. Ogden The case dealt with implications of enumerated The case dealt with implications of enumerated

powers.powers. The case was seeking clarification for the word The case was seeking clarification for the word

Commerce. Commerce. This issue dealt specifically with the This issue dealt specifically with the regulation of interstate commerce.regulation of interstate commerce.

The boats on the waterways between NY and NJ were The boats on the waterways between NY and NJ were being regulated by the states. Only the national gov. being regulated by the states. Only the national gov. has the right to regulate navigation, not the states.has the right to regulate navigation, not the states.

The court made a broad definition and said all The court made a broad definition and said all business dealings are considered interstate commerce.business dealings are considered interstate commerce.

The Power To Provide For General The Power To Provide For General WelfareWelfare

This enumerated power has grown over time This enumerated power has grown over time specifically during the Great Depression. Ex: specifically during the Great Depression. Ex: S.S. Act of 1935.S.S. Act of 1935.

In 1937 the S.C. had to determine was S.S. a In 1937 the S.C. had to determine was S.S. a national gov. issue or a state issue.national gov. issue or a state issue.

National Obligations To The StatesNational Obligations To The States Hurricane Katrina and the FEMA relief was a disaster . The Hurricane Katrina and the FEMA relief was a disaster . The

local, state, and national government were blamed for not local, state, and national government were blamed for not working together.working together.

Must treat states equal in matters of trade and commerce.Must treat states equal in matters of trade and commerce. Can not make a new state out of property on old state w/o Can not make a new state out of property on old state w/o

the legislatures consent.the legislatures consent. Can not change state boundaries w/o state legislatures Can not change state boundaries w/o state legislatures

consent.consent. Must guarantee a republican form of gov.Must guarantee a republican form of gov. Must protect states from foreign and domestic violence at Must protect states from foreign and domestic violence at

their request.their request.

State to State ObligationsState to State Obligations

Article IV sets out Horizontal Federalism: state to Article IV sets out Horizontal Federalism: state to state relationships.state relationships.

States have the right to forge interstate compacts with States have the right to forge interstate compacts with each other.each other.

Extradition must be followed by the states.Extradition must be followed by the states. Each state must provide the same privileges and Each state must provide the same privileges and

immunities to other citizens visiting their state.immunities to other citizens visiting their state. Each state must follow the full faith and credit clause, Each state must follow the full faith and credit clause,

meaning follow all legal documents.meaning follow all legal documents.

The New Judicial FederalismThe New Judicial Federalism

New Judicial Federalism: the practice whereby New Judicial Federalism: the practice whereby a state judges base decisions regarding civil a state judges base decisions regarding civil liberties on state constitutions instead of US liberties on state constitutions instead of US Constitution.Constitution.

Pruenyard shopping center and Fred Sahadi v. Pruenyard shopping center and Fred Sahadi v. Michael Robins.Michael Robins.

Dual FederalismDual Federalism

The relationship between the national and state The relationship between the national and state governments, dominate between 1789 and governments, dominate between 1789 and 1932. Each gov. functioned independently of 1932. Each gov. functioned independently of each other to address their own issues.each other to address their own issues.

Courts usually favored states in court casesCourts usually favored states in court cases

Cooperative FederalismCooperative Federalism

The relationship between the nation and state The relationship between the nation and state governments work together to address governments work together to address domestic issues reserved for the states, driven domestic issues reserved for the states, driven by state policy. Ex: New Deal and Great by state policy. Ex: New Deal and Great Depression.Depression.

Grant in aid: transfer of money from one gov. Grant in aid: transfer of money from one gov. to another without needing to be paid back.to another without needing to be paid back.

Centralized FederalismCentralized Federalism

The relationship between nation and state gov. The relationship between nation and state gov. whereby the national gov. imposes its policy whereby the national gov. imposes its policy on the state gov.on the state gov.

Ex: LBJ was a supporter of this.Ex: LBJ was a supporter of this. Nixon was against it.Nixon was against it. Nixon and Reagan wanted devolution, which Nixon and Reagan wanted devolution, which

is the return of policy to state and local gov.is the return of policy to state and local gov.

Conflicted FederalismConflicted Federalism

The current status of the national state The current status of the national state relations that has elements of dual and relations that has elements of dual and cooperative federalism with an overall cooperative federalism with an overall centralized tendency at the same time that centralized tendency at the same time that elements of policy are devolved.elements of policy are devolved.

Civil War and Post War Civil War and Post War AmendmentsAmendments

The 10The 10thth amendment is probably the most amendment is probably the most important regarding national and state important regarding national and state sovereignty but three others have expanded sovereignty but three others have expanded that relationship.that relationship.

13th,1413th,14thth, 16, 16thth, 17, 17thth these are the civil war these are the civil war amendments.amendments.

1414thth Amendment Amendment

Ensures that state gov. follow due process Ensures that state gov. follow due process before taking life, liberty, and property of before taking life, liberty, and property of another person.another person.

Congress and President have approved Congress and President have approved national law to ensure the states follow it.national law to ensure the states follow it.

This insures that all gov. buildings protect This insures that all gov. buildings protect these rights this includes individuals with these rights this includes individuals with disabilities.disabilities.

Ex: Gore v. BushEx: Gore v. Bush

1616thth Amendment Amendment

This enhances the gov. ability to raise money. This enhances the gov. ability to raise money. It allows congress to collect income taxes from It allows congress to collect income taxes from workers and cooperation's without appointing workers and cooperation's without appointing these taxes among the states on the basis of these taxes among the states on the basis of population.population.

These allows the gov. to have a ton of money.These allows the gov. to have a ton of money. Can use this money as leverage over state and Can use this money as leverage over state and

local gov. to enforce or encourage policieslocal gov. to enforce or encourage policies Ex: drinking age.Ex: drinking age.

1717thth Amendments Amendments

This amendment now allows the popular vote This amendment now allows the popular vote to elect the senators not the state legislators.to elect the senators not the state legislators.

This allows the senators not to be directly This allows the senators not to be directly accountable to the state legislatures.accountable to the state legislatures.

Thus state govs. lost direct access to national Thus state govs. lost direct access to national policy makers.policy makers.

Further Evolutionary LandmarksFurther Evolutionary Landmarks

In 1837 the national gov. shared its revenue In 1837 the national gov. shared its revenue surplus with the states in the form of money surplus with the states in the form of money grants.grants.

This really did not take affect until Great This really did not take affect until Great Depression.Depression.

GrantsGrants

Categorical formula grant: money granted by Categorical formula grant: money granted by the national gov. to the state and local govs. the national gov. to the state and local govs. for specified program area and in an amount for specified program area and in an amount based on legislated formula.based on legislated formula.

These usually come with rules and regulations These usually come with rules and regulations attached which the recipient must comply attached which the recipient must comply with.with.

Medicaid is an exampleMedicaid is an example

GrantsGrants

Categorical project grant: money granted by Categorical project grant: money granted by the national gov. to states and local govs. For the national gov. to states and local govs. For specified program area of recipients compete specified program area of recipients compete by proposing specific projects they want to by proposing specific projects they want to implement.implement.

GrantsGrants

Block Grants: money granted by the national Block Grants: money granted by the national gov. to the states or local for broadly defined gov. to the states or local for broadly defined policy areas with fewer strings than a policy areas with fewer strings than a categorical grants and in amounts based on categorical grants and in amounts based on complicated formulas.complicated formulas.

Ex: would be a wic program for families with Ex: would be a wic program for families with children that are in need.children that are in need.

GrantsGrants

In 1923 Mass. V. Mellon the court ruled national In 1923 Mass. V. Mellon the court ruled national grants aid to be constitutional and are voluntary. If grants aid to be constitutional and are voluntary. If the state accepts the money than they have to follow the state accepts the money than they have to follow the guidelines.the guidelines.

SD. V. Dole: Courts ruled nation could not impose a SD. V. Dole: Courts ruled nation could not impose a national drinking age but could encourage it.national drinking age but could encourage it.

Over time intergovernmental lobbying has grown. Over time intergovernmental lobbying has grown. This is efforts by groups rep. state and local gov. to This is efforts by groups rep. state and local gov. to influence national public policy.influence national public policy.

MandatesMandates

These court decisions allow mandates to These court decisions allow mandates to occur:occur:

The necessary and proper clause (article I The necessary and proper clause (article I sec.9)sec.9)

National Supremacy clause (article IV)National Supremacy clause (article IV) General welfare clause (article I sec.8)General welfare clause (article I sec.8) Reg. of interstate commerce clause (article I Reg. of interstate commerce clause (article I

sec.8)sec.8)

MandatesMandates

Mandates are clauses in legislation that direct Mandates are clauses in legislation that direct state and local governments to comply with state and local governments to comply with national legislation and national standards.national legislation and national standards.

National gov. covers it: funded mandateNational gov. covers it: funded mandate State and local gov. cover it : unfundedState and local gov. cover it : unfunded Ex: ADA Act of 1990Ex: ADA Act of 1990

PreemptionPreemption

Its constitutionally based principal that allows Its constitutionally based principal that allows a national law to supersede state and local.a national law to supersede state and local.

Partial preemption: the authority of the Partial preemption: the authority of the national government to establish minimum national government to establish minimum regulatory standards that provide state and regulatory standards that provide state and local governments the flexibility either to local governments the flexibility either to enforce the national standards or establish their enforce the national standards or establish their own stringent which they must enforce.own stringent which they must enforce.