section 1: dividing government power section 2: american...

CHAPTER 4: FEDERALISM

Section 1: Dividing Government Power Section 2: American Federalism: Conflict and Change Section 3: Federalism Today

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SECTION 1: DIVIDING GOVERNMENT POWER

  Why Federalism   A way of organizing a nation’s government in which different levels of

government share authority over the same land and people.   Did not want Unitary Rule- all power held by strong central government.

Had to give up some power to federal government to ensure stability and economic unity (ex. Taxes)

  National Powers •  Expressed powers: powers granted to national government by

Constitution

•  Article I, Section 8: expressed powers of legislative branch—power to issue money, collect taxes, pay debts, regulate trade, declare war, raise and maintain armed forces

•  Article II gives president power to command armed forces, conduct foreign relations

•  Article III gives judicial branch power to rule on constitutional issues, cases involving U.S. government, disputes among states 2


  Implied Powers

•  Implied powers: not specifically listed but logical extensions of expressed powers

•  Article I, Section 8:necessary and proper clause also referred to as elastic clause; used to stretch powers of Congress building highways, regulating food, mechanism for collecting taxes

  Inherent Powers •  Inherent powers: historically recognized as naturally belonging to

all governments that conduct business of sovereign nation •  U.S. government has inherent powers simply because it is a

national government power not specifically granted by Constitution: power to acquire new territory, conduct foreign affairs

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 State Powers

•  Constitution has less to say about state powers

•  James Madison: national powers “few and defined,” state powers “numerous and indefinite”

•  1791: Bill of Rights reserved powers clause—”powers not delegated to the United States…reserved to the States respectively”

•  Reserved powers belong to states because they are not delegated to national government, nor prohibited from states

•  Regulate health, public safety, morals, general welfare of state citizens

•  Other reserved state powers: ability to regulate marriage, form local governments, control public school systems, establish and enforce laws, speed limits, driver license

•  Power to regulate businesses operating within borders, issue licenses to doctors, lawyers, barbers, hair dressers, teachers 4


  Shared Powers   In addition to their reserved powers, states may also share powers

with the national government. If the Constitution does not specifically state that a power belongs exclusively to the national government, then the states may exercise that power, too.

•  Power to collect taxes is a concurrent power: power held by national government, state governments at same time

•  Both levels of government can establish courts, make and enforce laws, build roads, provide education, borrow and spend money

•  Citizens subject to two levels of authority; must follow state and national laws

•  Framers considered situation where national, state laws come into conflict, Article VI supremacy clause: national laws and treaties form the “supreme law of the land.” Judges have to obey Constitution even if it contradicts

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  The Limit of Power   Limits on National Government

•  Article I, Section 9: government cannot deny right to trial by jury, grant titles of nobility, tax exports between states

•  May not exercise powers reserved to states or limit basic freedoms

  Limits on State Governments

•  Article I, Section 10: denies specific powers to state governments—to coin money and to tax imports and exports from other states

•  States may not have own armies, engage in wars, enter into treaties

  Powers Denied to Both Levels

•  Neither can deny people accused of crimes right to trial by jury or grant titles of nobility

•  Neither can pass ex post facto laws (after the fact)

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•  Nation and State Relations

•  Constitution divides government power, describes responsibilities of national and state governments to each other Article IV, Section 4: national government only officially recognize representative state governments

•  National government responsible for protecting states from foreign invasion and domestic ( ex. 911)

•  National government can admit new states, but it cannot split up states that already exist, or change state boundaries in any way.

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•  Relations between the States •  Constitution gives states right to manage affairs within borders

–  Encourages cooperation between states –  States required to extradite persons charged with crime to state where

offense committed •  Article IV: full faith and credit clause requires states give “full faith and

credit” to public acts, official records, judicial proceedings of every other state, contract signed in one state honored by officials in another state

•  Article IV, Section 2: privileges and immunities clause, citizens of each state receive all “privileges and immunities” of any state. New Yorker visiting North Carolina will enjoy same police protection as North Carolinians

–  Many exceptions, including in-state college tuition to residents and lower fees for services funded by taxes

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  What about Local Government

•  Creating local governments is a power reserved to the states.

•  Relationship between state and local government different from that of national and state governments

•  State government has power to reorganize local government at any time to better address state needs

  Native American Sovereignty •  Article I, Section 8: national government has power to regulate commerce

with Indian tribes; used power to make treaties with Native American nations

•  In most cases treaties resulted in loss of land, sovereignty, and individual rights for native peoples

•  Native Americans not granted full citizenship until 1924

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SECTION 2: AMERICAN FEDERALISM: CONFLICT AND CHANGE

  Role of the Supreme Court •  Gave Supreme Court power to resolve conflicts between nation

and states •  Article III gives judicial branch authority to hear cases involving

Constitution, U.S. laws, disputes between states •  Supreme Court acts as referee, sorting out conflicts between

nation, states •  Courts make decisions based on rules in Constitution •  Article VI includes supremacy clause: Constitution, national laws,

treaties made by national government “supreme law of the land” •  Court’s rulings have gradually increased power of national

government •  American federalism continually changed to meet needs of new

generations •  Changes understood in four terms: dual federalism(1789-1930’s),

cooperative federalism(1930’s-1960s), creative federalism(1960’s-1980’s), new federalism(1980’s-2001) pg 104

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  Dual Federalism   Lasted from about 1789-1930’s. Both state and national government

were equal authorities operating within their own spheres of influence, as defined by a strict reading of the Constitution.

  The Great Debate •  Nationalists: advocates of strong, centralized national government •  Proponents of states’ rights held national government should not

unduly intrude in state affairs •  Secretary of Treasury Alexander Hamilton asked Congress to

create national bank, argued government had constitutional power to regulate currency, therefore implied power to create bank

•  Congress refused to renew charter when it expired 20 years later •  1816: dispute resurfaced with charter of Second Bank of the United

State Maryland wanted to impose a tax on all banks in the state but the Second Bank refused to pay, resulted in McCulloch v. Maryland (1819) 13


  The Marshall Court •  1819, McCulloch v. Maryland: bank dispute reached Supreme

Court •  Court ruled in favor of nation’s authority to start bank •  Chief Justice John Marshall argued charter justified by

Constitution’s necessary and proper clause

•  Bank would help nation properly execute powers to regulate commerce and currency

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  A House Divided •  U.S. became bitterly divided over issue of slavery •  Debate wrapped up in arguments about states’ rights and national power •  Southern slave states resisted national measures to outlaw slavery in new

states and territories Held states sovereign, could make decisions for themselves

•  Doctrine of nullification: some southern politicians believed states had right to nullify national laws that contradicted or clashed with state interests according to doctrine, if state challenged national law, three-quarters of other states would have to ratify amendment allowing Congress to enact law State could either choose to follow law or secede from Union

•  Doctrine of secession: idea that states had right to separate from Union

•  1860: Issue of sovereignty came to a head after election of Abraham Lincoln, Lincoln believed issue of slavery was divisive

•  South Carolina first to secede; followed by 10 other states

•  1861: U.S. divided by Civil War, waged for 4 years; bloodiest war in U.S. history 15


 After the Civil War

•  1865: Confederacy surrendered; Union restored

•  Defeat of Confederacy settled matter of slavery

•  War profoundly changed relationship between states, national government

•  War firmly established national supremacy

•  Put to rest most radical interpretations of state sovereignty

•  Led to expanded constitutional powers of national government 13th, 14th, 15th Amendments (Reconstruction Amendments) passed

•  Abolished slavery, defined citizenship, prohibited states from denying citizens’ rights, extended voting rights to African American men

•  In time national government would use new constitutional powers to protect rights of African Americans, women, and others

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  Expanding National Power   The Civil War reinforced the supremacy of the national government

over the states. In the years following the war, new challenges continued to shift the balance of power in favor of the national government.

  Turn-of-the-Century Reforms •  End of 19th to start of 20th century was time of tremendous change in

U.S. •  New technology: railroads, telegraph, industrial machinery •  Unprecedented growth: population more than doubled from 1870 to

1916 •  Social and economic problems: overcrowded cities, rising crime rates,

dangerous working conditions •  Corporations developed great economic influence at expense of

working-class Americans •  Difficult to address problems at state level

•  National government passed legislation to reform social, business conditions

•  1887: Interstate Commerce Act regulated the railroad industry set restrictions on rates railroads could charge

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  1890 Sherman Antitrust Act prevented monopolies ( exclusive control of a good or service in a particular market) It encouraged fair competition in all industries. Early 1900s: used to break up large monopolies such as American Tobacco New laws expanded national government’s power to regulate business. Court cases limited reach of national power 1895, United States v. E. C. Knight Company: sugar refining companies operated locally, could not be regulated by national government

•  The New Deal

•  1929, stock market crashed, led to Great Depression Poverty and unemployment widespread local organizations unable to respond adequately (1933) President Franklin D. Roosevelt introduced New Deal, Series of national programs to address needs of Americans some assisted unemployed, elderly others provided jobs

•  Major change in role of national government, National and state governments worked together to meet crisis, Federalism under New Deal known as cooperative federalism

•  Major shift caused court challenges, opponents argued constitutional powers to tax and regulate commerce did not give power to enact many New Deal programs, Supreme Court upheld most New Deal legislation 18


  The Great Society •  1960s: President Lyndon Johnson expanded powers of national

government Great Society program: initiatives aimed at eliminating poverty and social inequity Creative federalism: released federal funds to states to achieve national goals, Medicaid (1965) provides free health care for poor

•  If national government determines states not fully cooperating, funding withheld ,threat of losing money powerful tool. Grant system increased size, cost of national government. Urban renewal grants increased from $212 million (1964) to more than $1 billion (1970)

•  New Federalism

•  Throughout much of U.S. history, the powers of the national government expanded. Beginning in the 1980s, many political leaders worked to reverse this trend by returning authority to state governments. This era is known as new federalism.

•  The Reagan Years

•  1980s: President Ronald Reagan supported returning power to the states, Believed national government less effective than state governments in providing services to people, Reagan worked to reduce size of government by cutting national grant money to states

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•  The Devolution Revolution

1994 elections: Contract with America—Republican campaign promise to achieve specific goals Central idea: devolution—returning power to states reduce size and power of national government by eliminating costly federal programs

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SECTION 3: FEDERALISM TODAY

  Fiscal Federalism   The beginning of the twenty-first century marked yet another shift in

relations between the states and the nation. In the wake of the September 11, 2001, terrorist attacks, the need for increased national security led to an expansion in the powers of the government.

  Roots in Confederation •  Fiscal federalism: power of federal government to influence state policies

within context of spending, taxing, and providing aid in federal system

•  Goes back to Land Ordinance of 1785, took shape during 1900s

•  National government gave land to states for establishing schools

  Latest Trend •  20th century: power of national government expanded with increased use

of grants-in-aid

•  Includes money, other resources national government provides to pay for state and local activities, low-income housing, community arts programs, energy assistance, disaster preparedness

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  Grants and Mandates   Categorical Grants

•  Most federal aid is distributed to states in form of categorical grants

•  Can only use for specific purpose, such as building new airport, crime-fighting in certain areas

•  Used to provide money to areas affected by natural disasters

•  Block Grants

•  Block grants: federal grants given for more general purposes, broad policy areas

•  Welfare, public health, community development, education

•  States prefer block grants; designed to allow state to spend money as it sees fit

•  In the 1980s, President Reagan used block grants in an attempt to decrease the size and influence of the national government.

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  Federal Mandates

State and local governments are usually pleased to receive money from the national government, but the national government often distributes money with strings attached

•  Federal mandates: demands on states to carry out certain policies as a condition of receiving grant money

•  Particularly important in enacting civil rights and environmental policies •  School busing, desegregation, affirmative action—results of federal

mandates •  Environmental regulations come from national government as well •  Clean Air Act of 1970: national mandate requiring states to meet national

air-quality levels •  In exchange for grant money, states required to create programs to reduce

pollution or risk losing federal funding

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  Issues in Federalism Today   New issues challenge American federalism. Political debates over how to

best address key policy areas drive new changes in our federal system   Poverty •  1996: Congress passed welfare reform law, gave states authority to

manage own systems

•  Since reforms, number of people on welfare has decreased

•  Some credit decrease to flexibility, creativity when handled by states

•  Others say decrease represents strong economy, question whether states will be able to continue to meet needs of poor

•  Homeland Security

•  Department of Homeland Security formed after 9/11 terrorist attacks

•  Local and state governments worked alongside Homeland Security to respond to Hurricane Katrina

•  In aftermath of storm, some question whether better leadership and cooperation between levels of government might have saved more lives

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  Environment

•  Many reasons why efforts to protect environment seen as responsibility of national government

•  Congress has been asked to limit reach of EPA in favor of local efforts

  Immigration

•  National government handles policies, citizenship, border protection

•  Several states have international borders and take immigration-related responsibility—education costs, health and social services, low-cost housing

  Health Care

•  Americans turning to state, national governments for solutions to rising costs

•  Some think U.S. may be on the verge of health care crisis

•  Which level should take lead on issues—state or national? 26

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