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Chapter 3

Chapter 3. FEDERALISM. Learning Objectives. 1) Explain what federalism means, how federalism differs from other systems of government, & why it exists in the United States. 2) Indicate how the Constitution divides governing powers in our federal system.

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Chapter 3

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  1. Chapter 3 FEDERALISM

  2. Learning Objectives • 1) Explain what federalism means, how federalism differs from other systems of government, & why it exists in the United States. • 2) Indicate how the Constitution divides governing powers in our federal system. • 3) Summarize the evolution of federal-state relationships in the United States over time.

  3. Learning Objectives • 4) Describe developments in federalism in recent years. • 5) Explain what is meant by the term fiscal federalism.

  4. Federalism & Its Alternatives • Federalism: Invented in the U.S. 1787 • A system of shared sovereignty between two levels of government • One national & one sub-national • Occupying the same geographic region. • For a system to be truly federal • The powers of both the national units & the sub-national units • Must be specified in a constitution.

  5. Countries That Have A Federal System Today Table 3-1 pg. 52

  6. Alternatives To Federalism • Unitary System: • A centralized governmental system • Where local or sub-divisional governments • Exercise only those powers given to them by the central government. • ie. Governments of Britain, France, Israel, Japan & Philippines

  7. Alternatives to Federalism • Confederate System: • A league of independent sovereign states, • Joined together by a central government • Who has only limited powers over them. • ie. Confederate states during the Civil War

  8. Advantages of Federalism • Well suited for large country • Provides for a multitude of arenas for decision making • Keeps government closer to the people & helps make democracy possible • Makes it possible to experiment w/ innovative policies & programs at the state or local level.

  9. Drawbacks to Federalism • Local self-rule may not always be in society’s best interests • Entrenched segregationist politicians in southern states denied African Americans their civil rights & voting rights for decades • Federalism also poses the danger that national powers will be expanded at the expense of the states. • At the same powerful state & local interests can block progress & impede national plans. • Lack of uniformity of state laws.

  10. Governmental Units in the United States Figure 3-1 Pg. 53

  11. The Constitutional Division of Powers • Division of Powers: • A basic principle of federalism • Established by the U.S. Constitution. • In a federal system, powers are divided between units of government • ie. Federal & State governments

  12. Powers Delegated to the National Government • The Constitution grants 3 types of powers to the national government: • 1) Expressed Powers • 2) Implied Powers • 3) Inherent Powers

  13. Powers Delegated to the National Government • Article I, Section 8, of the Constitution • Expressly enumerates 27 powers that Congress may exercise • Expressed Powers: Constitutional or statutory powers • expressly provided for by the Constitution or by congressional laws. • ie. Power to Tax, Coin Money, Regulate interstate commerce

  14. Powers Delegated to the National Government • Constitutional basis for implied powers, Article I, Section, Clause 18 • Implied Powers: The powers of the federal government • Are implied by the expressed powers in the Constitution or by congressional laws. • Often called Necessary & Proper Clause

  15. Powers Delegated to the National Government • Necessary & Proper Clause: • Article I, Section 8, Clause 18, of the Constitution • Gives Congress the power to make all laws “necessary & proper” • For federal government to carry out its responsibilities; • Also called the Elastic Clause.

  16. Powers Delegated to the National Government • Inherent Powers: • The powers of the national government that, although not expressly granted by the Constitution • Are necessary to ensure the nation’s integrity & survival as a political unit. • Inherent powers include: • The power to make treaties • & the power to wage war or make peace.

  17. Powers Prohibited to the National Government • Located in Article I, Section 9 & the 1st eight amendments to the Constitution: • Imposing taxes on exports • Passing laws restraining certain liberties • ie. Freedom of speech or religion • Prohibited from exercising powers • ie. Power to create national school system (not included among its expressed & implied powers)

  18. The Powers of the States • 10th Amendment to the Constitution: • Powers not delegated to the national government by the Constitution, nor prohibited to the states, “are reserved to the States respectively, or to the people.”

  19. The Powers of the States • Police Powers: • Powers of a government body • Enable it to create laws for the protection of: • Health • Morals • Safety • & Welfare of the people • In the United States, most police powers are reserved to the states.

  20. Powers Prohibited to the States • Article I, Section 10 denies certain powers to state governments • ie. Tax goods transported across state lines & Entering into treaties w/ other nations • ie. 13th, 14th, 15th, 19th, 24th & 26th Amendments also prohibit state actions

  21. Interstate Relations • Horizontal Federalism: • Relationships among the states in our federal system of government. • Interstate Compacts: • Agreements among two or more states • To regulate the use or protection of certain resources • ie. Water or Oil & Gas • California & Nevada concerning Lake Tahoe

  22. Interstate Relations • Constitution & Horizontal Federalism • Full faith & credit clause • Requires each state to honor every other state’s public acts, records, & judicial proceedings.

  23. Concurrent Powers • Powers held by both the federal & the state governments in a federal system. • ie. Power to Tax

  24. Supremacy Clause • Article VI, Clause 2, of the Constitution: • Which makes the Constitution & federal laws superior to all conflicting state & local laws. • National government power ALWAYS takes precedence over any conflicting state action.

  25. The Constitutional Division of Powers Figure 3-2 pg. 58

  26. Powers Denied By The Constitution Figure 3-2 pg. 58

  27. The Struggle For Supremacy • Early U.S. Supreme Court Decisions: • Marbury v. Madison (1803) • Judicial Review • McCulloch v. Maryland (1819) pg. 57 • Established the doctrine of Implied powers • Established doctrine of national supremacy • No state could use its taxing power to tax an arm of the national government.

  28. The Struggle for Supremacy • Gibbons v. Ogden (1824): pg. 57 • Issue: defining commerce clause • & whether national government had exclusive power to regulate commerce involving more than one state. • Decision: • Chief Justice John Marshall defined commerce: Includes all business dealings • (As well as steamboat travel) • Also states that power to regulate interstate commerce is an exclusive national power • & had not limitations except those found in the Constitution.

  29. Ultimate Supremacy Battle • The Civil War (1861-1865): • Issue: Future of Slavery • States’ rights v. National Supremacy • Secession: The act of formally withdrawing from membership in an alliance. • Ie. Withdrawal of a state from the Federal Union

  30. Dual Federalism • A system of government in which both the federal & state governments maintain diverse but sovereign powers. • Civil War to the 1930’s • “Layer Cake”

  31. Cooperative Federalism • The theory that states & the federal government should cooperate in solving problems. • Grew out of Great Depression, began in 1929 • Mixed cake • Still operates today

  32. Cooperative Federalism • New Deal: • A program ushered by Roosevelt administration in 1933 • Goal: Bring U.S. out of the Great Depression • New Deal included: • Many government spending • Public-assistance programs & • Thousands of regulations governing economic activity

  33. Cooperative Federalism & The Welfare State • Massive social programs of 1960’s and 1970’s • LBJ’s GREAT SOCIETY • Medicaid, Medicare, the Job Corps, Operation Head Start • Civil Rights Act of 1964 • Consumer Protection & Environmental Protection policy during the 70’s • Require greater state & local involvement

  34. Cooperative Federalism & The Welfare State • Picket-fence federalism: • Model of federalism which specific policies & programs are administered by all levels of government • National • State • & Local • ie. Welfare Policy during the 1960’s & 1970’s

  35. Effect of Supremacy Clause • Preemption: • Doctrine rooted in the supremacy clause of Constitution • Provides that national laws or regulations governing a certain area • Take precedence over conflicting state laws or regulations governing that same area. • National law trumps state law

  36. Federalism Today • New Federalism- More Power to the States: • New Federalism: • Plan to limit federal government’s role in • Regulating state governments • & to give states increased power to decide how they should spend government revenues. • Nation-centered federalism to State-centered federalism during 1970’s & 1980’s

  37. Federalism Today • New Federalism leads to Devolution: • The surrender or transfer of powers to local authorities by a central government. • Product of conservative thought • However also used during Clinton Administration w/ Welfare reform in 1996

  38. The Supreme Court & the New Federalism • United States v. Lopez (1995): • 1st time in 60 yrs. Court holds that Congress had exceeded its constitutional authority under commerceclause • Court concludes that the Gun-Free School Zones Act of 1990 • Which banned the possession of guns w/ in 1,000ft. of any school • Was unconstitutional because it attempted to regulate an area that had “nothing to do w/ commerce.”

  39. The Supreme Court & the New Federalism • Significant 1997 decision, Court strikes down portions of the Brady Handgun Violence Prevention Act of 1993: • Made state & local law enforcement officers • Perform background checks on prospective handgun buyers • Until a national instant check system could be implemented. • Court stated that Congress lacked power to “dragoon” state employees into federal service by an unfunded federal mandate.

  40. The Supreme Court & the New Federalism • Federal Mandate: • Requirement in federal legislation which forces state & municipalities (local government) to comply w/ certain rules. • If federal government does not provide money to states to cover costs of compliance, mandate is an unfunded mandate. • Americans with Disabilities Act of 1990

  41. The Fiscal Side of Federalism • Categorical Grants: • Federal grant targeted for a specific purpose • Categorical Grant for Education • Only to be utilized for the purchase of new textbooks • Block Grants: • Federal grant given to state for a broad area • Block Grant for Education • Can be used as state sees fit: New textbooks, more teachers, new computers, building improvements etc.

  42. Fiscal Federalism • Power of the national government to influence state policies through grants. • Cornerstone of national and state government relationship

  43. Competitive Federalism • Model of Federalism: • Devised by Political Scientist Thomas R. Dye • In which state & local governments compete for businesses & citizens, • Who “vote with their feet” • Moving to jurisdictions that offer competitive advantage • ie. Ohio Tax advantages for businesses vs. Ohio strict environmental policy

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