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Chapter 3

Chapter 3. Federalism. Three Systems of Government. Unitary System – strong central government; local governments only have powers given them by central government; power flows down from center to units; the most common form

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Chapter 3

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  1. Chapter 3 Federalism

  2. Three Systems of Government • Unitary System – strong central government; local governments only have powers given them by central government; power flows down from center to units; the most common form • Examples: Great Britain, Sweden, Japan, Egypt, Israel, the Philippines • Confederal System – strong state governments; central government has only limited powers over the states; a league of independent states, each having essentially sovereign power; power flows up from the units to the center; uncommon • Examples: US under Articles of Confederation (1776-1788), European Union • Federal System – power is divided between central government and states; each has its own sphere of influence; power flows both ways from central government to units and vice versa; less common • Examples: U.S., Australia, Brazil, Canada, Germany, India

  3. Figure 3-1: Flow of Power in Three Systems of Government, 46

  4. © 2004 Wadsworth Publishing / Thomson Learning™ America’s Governmental Units

  5. Why Federalism? • Practical Solution – compromise that helped ensure ratification of the Constitution (Federalists vs. Anti-Federalists); helped resolve dispute between advocates of a strong central government and a weak central government, states’ rights advocates • Geography and population make it impractical to locate all political authority in one place; practical for large countries • Brings government closer to the people • State governments train future national leaders • State governments can be testing grounds for policy initiatives • Federalism allows for many political subcultures • Provides regionally concentrated groups a degree of autonomy

  6. Why Not Federalism? • Potential lack of coherence • States can block national plans • Inequalities across states in terms of education, crime control, building safety, etc. • More broadly, federal units can become the basis for secessionist movements (esp. regionally concentrated ethnonationalist movements) • Examples: the Confederacy in the U.S.; Kurds in Iraq; Quebequois (French Candadians from Quebec) in Canada

  7. National Government Powers • Expressed powers are those enumerated in the Constitution (Article I, Section 8), pp. 376-377 • Examples: lay and collect taxes, borrow, regulate commerce, coin money, set standards of weights and measures, declare war • Implied powers arethose reasonably (inferred but not expressly stated) necessary to carry out the powers expressly delegated • Based in Article I, Section 8, Clause 18: “Necessary and Proper Clause,” a.k.a. “Elastic Clause,” 377 • Inherent Powers are held by the national government by virtue of it being a sovereign state recognized by the community of nations; grounded in international law • Right to survival, defense, national interest, trade, make treaties, territorial integrity, self-determination, freedom from external intervention, just war, acquire territory

  8. State Government Powers • Reserved powers outlined in the Tenth Amendment, 385 • “The powers not delegated to the U.S. by the Constitution, nor prohibited by it to the States, are reserved to the States respectively, or to the people.” • Regulation of intrastate commerce; state militia; police power (crime, contracts, marriage/divorce; education, traffic, land use, etc.); levy taxes • Police power = authority to make laws for the protection of the health, morals, safety, and welfare of the people • Denied powers (Article I, Section 10, 378) = treaties and coinage; duties and imposts; war

  9. Federal/State Government Powers • Concurrent powers = held jointly by national and state governments (tax, borrow money, make and enforce laws, establish courts, etc.) • Prohibited powers = national government prohibited from taxing exports; states prohibited from entering into treaties on its own with another country • Supremacy clause (Article VI, clause 2, 382) = Constitution and federal laws superior to all conflicting state and local laws; federal law takes precedence over all state law; Constitution, congressional laws, national treaties, and rules/regulations issued by the executive are “Supreme Law of the Land”; states cannot use reserved or concurrent powers to thwart national policies

  10. Vertical Checks and Balances • Separation of powers/checks and balances at national level aimed at preventing national government from becoming too powerful • Federalism allows for “vertical” checks and balances between states and the national government • States’ checks = reserved powers; representation in Congress; vote for president; amendment process; administration of national programs • National government’s checks = expressed and implied powers; Supremacy clause; commerce clause; federal grants

  11. Constitutional Clauses Concerning Interstate Relations • A.k.a. “horizontal federalism” • Full Faith and Credit clause (Article IV, 381) = all states are required to respect one another’s laws • Privileges and Immunities Clause = a citizen of a state has all the rights as the citizen of another state where they happen to be • Extradition clause = a person accused of a crime who flees to another state must be returned if requested

  12. Expanding the Powers of the National Government • Landmark Supreme Court cases under Chief Justice John Marshall increased the power of the national government relative to the states • McCulloch v. Maryland (1819) – enhanced the implied powers of the national government through an expansive interpretation of the necessary and proper clause (Article I, Section 8, Clause 18) • Gibbons v. Ogden (1824) – broad interpretation of the commerce clause (Article I, Section 8, Clause 3) expanded the regulatory powers of the federal government; regulation of interstate commerce an exclusive national power

  13. Reassertion of States’ Rights and Civil War • Civil War – ultimate dispute over power of national and state governments; national government supremacy and rights of states • Nullification– idea that states could declare a national law null and void • Secession– withdrawal of a state from a union • Civil War ends idea that a state can secede and leads to an increase in the power of the national government • Prior to Civil War, many states considered themselves ultimate authority; after War, supremacy of national government recognized (at least by most)

  14. War and Growth of National Government • Defeat of the South ended idea that states could secede from the Union • Also resulted in expansion of the powers of the national government (the opposite of what the South was fighting for) • New governments employees hired to conduct the war effort, and Reconstruction • Billion dollar budget passed • Temporary income tax imposed on citizens • Civil liberties curtailed because of war effort • National government provided pensions to veterans and widows

  15. Continuing Dispute over the Division of Power • Post-Civil War –two major phases in Federal-State government relations • Dual Federalism – national and state governments equal sovereign powers within their own spheres (e.g., states control intrastate commerce; federal government interstate commerce) • Cooperative Federalism (post-depression era) – states and national government cooperate to solve common problems

  16. Federal Aid to States • As transportation improved and trade expanded, national government began to regulate national economy and construct infrastructure. One method of achieving this was federal grants with “strings” • Categorical grants-in-aid = federal grants targeted for specific programs/projects (Medicaid, highway construction, unemployment, housing, welfare); enables Congress to effect policy change in states • Block grants = federal grants provided for general functional areas (criminal justice, mental health); preferred by states because it gives them greater flexibility in spending • Federal mandates = rules/regulations handed down by the federal government (environmental protection, civil rights), often unfunded and expensive, that force states and municipalities to comply with certain rules

  17. © 2004 Wadsworth Publishing / Thomson Learning™ Shift towards Central Government spending

  18. Supreme Court and Federalism • Plays a key role in determining the line between state and federal powers • Over the last decade, the conservative Rehnquist court has lessened the federal government’s powers under the commerce clause • Increasingly emphasized state powers granted by the 10th and 11th Amendments

  19. Federalism, Supreme Court, and Commerce Clause • United States v. Lopez – court rules Congress exceeded its authority under the commerce clause in passing the Gun-Free School Zone Act of 1990 • United States v. Morrison – court rules Congress exceeded its authority under the commerce clause in passing the Violence Against Women Act of 1994

  20. Federalism, Supreme Court and Eleventh Amendment • Decisions bolstered the authority of state governments: • Alden v. Maine (1999) – state employees can’t sue state for violating federal overtime pay law • Kimel v. Florida Board of Regents (2000) – state university employees can’t sue state for violating federal age discrimination law • Yet, in Nevada v. Holmes (2003) – the court ruled that state employers must abide by the federal Family Medical Leave Act, which seeks to outlaw gender bias

  21. State Governments Today • Provide highly visible functions (e.g., education, health, police, fire, roads, welfare, etc.); funded by sales taxes and income taxes • Local government services funded by property taxes • Mirrored on national government • Most executives have line item veto power (unlike President) • Legislatures often criticized as unprofessional, uneffective; limited resources; limited meeting times; low pay; responsible for drawing electoral district lines • Each maintains a court system • Crises in state finances vitally important (as we know all too well in CA)

  22. Why Federalism is Important Today • No uniform body of national laws (unlike under Unitary governments) • Differences in criminal sanctions and sentencing from state to state; county to county • Differences in welfare and education spending • Allows for diversity and inequalities • Gives citizens the option to “vote with their feet” and go to a state conducive to their interests

  23. Discussion Questions • Is there a proper balance between states’ rights and the powers of the federal government? • Would we be better off with increased federal powers? • Has federalism “worked” for the U.S.? • Do you think unfunded federal mandates are fair? • What would happen if a state like California tried to secede from the U.S. and form an independent country?

  24. Hot Links to Selected Internet Resources: • Book’s Companion Site: http://politicalscience.wadsworth.com/schmidtbrief2004 • Wadsworth’s Political Science Site: http://politicalscience.wadsworth.com • Emory University’s Federal Law Site: http://www.law.emory.edu/FEDERAL • Unity and Federalism: http://www.constitution.org/cs_feder.htm • Project Vote Smart: http://www.vote-smart.org/issues/FEDERALISM_STATES_RIGHTS

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