Understanding the U.S. Federal System: Federalism and Sovereignty

1. Chapter 3 Federalism

2. An Overview of U.S. Federal System -Federal System: a governmental structure with two levels of government and in which each level has sovereignty over different policy matters. -Sovereignty: having ultimate authority to govern. -Dual Sovereignty: the existence of two governments each with authority over different matters at the same time.

3. Unitary System • Colonist experienced this from 1781-1788 • Most world nations still live under a unitary government. • Unitary System: a governmental structure in which one central government has sovereignty, although it may create regional governments to which it delegates responsibilities. • This system can make/delete regional governments. • Ex: colonial governments running day to day operations for the crown.

4. Confederal System • Confederal System: a structure of government in which several independent sovereign governments agree to cooperate on specified governmental matters while retaining sovereignty over all other matters in their jurisdictions. • In 1776 each state ruled its own jurisdiction by its own constitution.

5. Confederal System • In 1777 all the states met in PA except RI to agree on an alliance and in 1781 the Articles of Confederation united them in a loose union. • The states agreed to work with each other on matters but made their own rules and governed themselves. • Each State would select their own Representatives to the central government body.

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

7. Federal System • In Philadelphia in 1787 the Framers drafted a new constitution that laid out dual sovereignty. • This would make a new national government that coincided with the already formed state governments. • The framers stated that the constitution would be the boundaries for the national government and anything not covered in it was left up to the states. • Please see figure 3.1 on pg.99

8. Federal System • This system can become very confusing for everyone involved in it. • We have one national gov. w/ fifty state gov., with more than 89,000 local gov. • State constitutions are the guidelines for the state and authorize the creation of local gov. • The state delegate some of the responsibilities to local gov. through charters, which is a local gov. form of a constitution.

9. Federal System • At the same point state gov. can take back the powers granted to the local gov. or even eliminate the local gov. • The state has a unitary system of gov. over the local gov. Thus the state controls all of the power and can eliminate the local gov. at any point.

10. Intergovernmental Relations (IGR) • IGR: collaborative efforts of two or more levels of gov. working to serve the public. • For the gov. to run it must have the ability to tax and spend money, have a plan of action, and hire workers to carry out that plan. • The responsibility for these three elements rest in public policy, policy financing, and policy implementation. • These can rest with one part of the gov (national, state, and local) or rest between all of them.

11. IGR • Example: Schools • Constitution give states the power to make school districts. • State gives power to local government to raise money for the schools through local taxes. Also state gives grant money to local schools. • Teachers have to be certified by the state to teach. • States must implement Title VI and IX • State curriculum must be put in place along with state testing. • Please look at figure 3.2 pg 101.

12. What does Federal System mean for citizens • Five categories of gov: national, state, county (borough or parish), municipality (township) and district. • All of these can impose responsibilities on their people. Ex: taxes • Each government can guarantee personal liberties. Ex: non discrimination of sexual orientation.

13. What does Federal System mean for citizens • Some Citizens must fulfill duties before given full rights: Males signing up for the draft. • Penalties not signing up for the draft. • Since Marbury vs. Madison, the SC interpretation of the constitution has been more in favor of the national gov. and expanded its power.

14. Concurrent Sovereign Authority • Concurrent Powers: basic governing functions of all sovereign governments. This will held by the national and local governments. • Powers are to tax, make policy, implement policy and exercise eminent domain. • Eminent domain: the authority of the government to compel a property owner to sell private property to gov. for public good.

15. National Sovereignty • The constitution mentions certain powers in Article I: • Enumerated powers: the powers of the national government that are listed in constitution. • Implied powers: powers of the national government that are not enumerated in the Constitution but congress claims are necessary and proper for national government to fulfill the necessary and proper clause of the constitution.

16. National Sovereignty • Necessary and proper clause( Elastic Clause): a clause in Article I, section 8 of the Constitution that gives congress the power to do it whatever it deems necessary to meet enumerated obligations; the basis for the implied powers. • Article II and III give enumerated powers to president and court system. • Figure 3.3 pg 104

17. The Supremacy Clause • Supreme law of the land: Constitutions own authority, meaning laws made by the governments must be compliant to the Constitution. • Article IV makes the Constitution, treaties and other laws the law of the land. This is known as the Supremacy Clause.

18. National Treaties with Indian Nations • Treaties made with the Natives still hold true today as law of the land. • The core obstacle in most is land rights (reservations). • The US government recognizes 550 Indian tribes and 300 of those still live on reservations in 34 states. • Only National laws apply to the reservations.

19. Powers Delegated To The States • Only a few state powers are mentioned in the Constitution. • States must hold elections for the federal government. (HR and Senate). • Vote for electoral college electors • Make amendments to the constitution by ¾ of the states approval.

20. Powers Reserved To The States • 10th amendment: powers not delegated to the US by the Constitution nor prohibited are reserved for the state. These are known as reserved powers. • These include daily affairs: birth, death, marriage, business, crime, health, morals, and safety. (police powers) • Figure: 3.4 pg 105

21. McCulloch v. Maryland • This case established the use of implied powers to expand the national govs. delegated authority. • The state of Maryland argued that they had a right to tax the national gov. for using its notary paper and that setting up a national bank was unconstitutional. • McCulloch (national gov) argued that it was an implied power to set up a national bank and that taxing the federal gov. was unconstitutional.

22. McCulloch v. Maryland • The Supreme Court ruled in favor of the national government. • It stated it was constitutional to set up a national bank under the enumerated power of levy taxes, borrow money, and regulate commerce. • It also ruled that Maryland's taxation of the federal gov. was unconstitutional because it interfered with federal authority.

23. The Power To Regulate Commerce • Gibbons v. Ogden • The case dealt with implications of enumerated powers. • The case was seeking clarification for the word Commerce. This issue dealt specifically with the regulation of interstate commerce. • The boats on the waterways between NY and NJ were being regulated by the states. Only the national gov. has the right to regulate navigation, not the states. • The court made a broad definition and said all business dealings are considered interstate commerce.

24. The Power To Provide For General Welfare • This enumerated power has grown over time specifically during the Great Depression. Ex: S.S. Act of 1935. • In 1937 the S.C. had to determine was S.S. a national gov. issue or a state issue.

25. National Obligations To The States • Hurricane Katrina and the FEMA relief was a disaster . The local, state, and national government were blamed for not working together. • Must treat states equal in matters of trade and commerce. • Can not make a new state out of property on old state w/o the legislatures consent. • Can not change state boundaries w/o state legislatures consent. • Must guarantee a republican form of gov. • Must protect states from foreign and domestic violence at their request.

26. State to State Obligations • Article IV sets out Horizontal Federalism: state to state relationships. • States have the right to forge interstate compacts with each other. • Extradition must be followed by the states. • Each state must provide the same privileges and immunities to other citizens visiting their state. • Each state must follow the full faith and credit clause, meaning follow all legal documents.

27. The New Judicial Federalism • New Judicial Federalism: the practice whereby a state judges base decisions regarding civil liberties on state constitutions instead of US Constitution. • Pruenyard shopping center and Fred Sahadi v. Michael Robins.

28. Dual Federalism • The relationship between the national and state governments, dominate between 1789 and 1932. Each gov. functioned independently of each other to address their own issues. • Courts usually favored states in court cases

29. Cooperative Federalism • The relationship between the nation and state governments work together to address domestic issues reserved for the states, driven by state policy. Ex: New Deal and Great Depression. • Grant in aid: transfer of money from one gov. to another without needing to be paid back.

30. Centralized Federalism • The relationship between nation and state gov. whereby the national gov. imposes its policy on the state gov. • Ex: LBJ was a supporter of this. • Nixon was against it. • Nixon and Reagan wanted devolution, which is the return of policy to state and local gov.

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

32. Civil War and Post War Amendments • The 10th amendment is probably the most important regarding national and state sovereignty but three others have expanded that relationship. • 13th,14th, 16th, 17th these are the civil war amendments.

33. 14th Amendment • Ensures that state gov. follow due process before taking life, liberty, and property of another person. • Congress and President have approved national law to ensure the states follow it. • This insures that all gov. buildings protect these rights this includes individuals with disabilities. • Ex: Gore v. Bush

34. 16th Amendment • This enhances the gov. ability to raise money. It allows congress to collect income taxes from workers and cooperation's without appointing these taxes among the states on the basis of population. • These allows the gov. to have a ton of money. • Can use this money as leverage over state and local gov. to enforce or encourage policies • Ex: drinking age.

35. 17th Amendments • This amendment now allows the popular vote to elect the senators not the state legislators. • This allows the senators not to be directly accountable to the state legislatures. • Thus state govs. lost direct access to national policy makers.

36. Further Evolutionary Landmarks • In 1837 the national gov. shared its revenue surplus with the states in the form of money grants. • This really did not take affect until Great Depression.

37. Grants • Categorical formula grant: money granted by the national gov. to the state and local govs. for specified program area and in an amount based on legislated formula. • These usually come with rules and regulations attached which the recipient must comply with. • Medicaid is an example

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

39. Grants • Block Grants: money granted by the national gov. to the states or local for broadly defined policy areas with fewer strings than a categorical grants and in amounts based on complicated formulas. • Ex: would be a wic program for families with children that are in need.

40. Grants • In 1923 Mass. V. Mellon the court ruled national grants aid to be constitutional and are voluntary. If the state accepts the money than they have to follow the guidelines. • SD. V. Dole: Courts ruled nation could not impose a national drinking age but could encourage it. • Over time intergovernmental lobbying has grown. This is efforts by groups rep. state and local gov. to influence national public policy.

41. Mandates • These court decisions allow mandates to occur: • The necessary and proper clause (article I sec.9) • National Supremacy clause (article IV) • General welfare clause (article I sec.8) • Reg. of interstate commerce clause (article I sec.8)

42. Mandates • Mandates are clauses in legislation that direct state and local governments to comply with national legislation and national standards. • National gov. covers it: funded mandate • State and local gov. cover it : unfunded • Ex: ADA Act of 1990

43. Preemption • Its constitutionally based principal that allows a national law to supersede state and local. • Partial preemption: the authority of the national government to establish minimum regulatory standards that provide state and local governments the flexibility either to enforce the national standards or establish their own stringent which they must enforce.