chapter 3 federalism. three systems of government unitary system – strong central government;...
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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
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
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
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 are those 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
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
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
Select Constitutional Powers
National Both StateEXPRESSED coin money conduct foreign relations regulate interstate commerce levy and collect taxes declare war raise and support the military establish post offices establish courts inferior to the Supreme Court admit new statesIMPLIEDElastic/Necessary and Proper (Article 1, Section 8, Clause 18)INHERENTGrounded in international law
CONCURRENT levy and collect taxes borrow money make and enforce laws establish courts provide for the general welfare charter banks and corporations
RESERVED regulate intrastate commerce conduct elections provide for public health, safety, and morals establish local governments ratify amendments to the federal constitution establish a state militia
Select Powers Denied by the Constitution
National Both State
tax articles exported from any state violate the Bill of Rights change state boundaries suspend the right of habeas corpus make ex post facto laws subject officeholders to a religious test
grant titles of nobility permit slavery deny citizens the right to vote because of race, color, or previous servitude deny citizens the right to vote because of gender
tax imports or exports coin money enter into treaties impair obligations of contracts abridge the privileges or immunities of citizens or deny due process and equal protection of the laws
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
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
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
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)
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
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
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
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
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
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
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)
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
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?
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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