chapter 3: learning objectives what is federalism? define federalism and assess the nature of...
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CHAPTER 3: LEARNING OBJECTIVES
What Is Federalism? Define federalism and assess the nature of
sovereignty in a federal systemCompare federalism to other systems of
government, including confederations and unitary systems of government
Understand how the Constitution differentiates between federal government powers, state government powers, and concurrent powers
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CHAPTER 3: LEARNING CHAPTER 3: LEARNING OBJECTIVESOBJECTIVES
What Is Federalism? Recognize the powers accorded to
Congress under Article I, including the necessary and proper clause
Explain the significance of the supremacy clause, the preemption doctrine, and the full faith and credit clause of Article IV in dividing sovereignty between the federal and state governments
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CHAPTER 3: LEARNING CHAPTER 3: LEARNING OBJECTIVESOBJECTIVES
The History of American Federalism Define the five eras of American federalism Assess the role played by the Supreme
Court in articulating the various doctrines and frameworks that determined the relationship between the state and federal governments during the five eras of American federalism
Distinguish between different forms of federalism (layer cake federalism versus marble cake federalism) in the modern era
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CHAPTER 3: LEARNING CHAPTER 3: LEARNING OBJECTIVESOBJECTIVES
Why Federalism? Advantages and Disadvantages Recognize the advantages of a system that
serves a diverse array of interests
Understand the disadvantages of federalism in terms of fairness and accountability
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CHAPTER 3: LEARNING CHAPTER 3: LEARNING OBJECTIVESOBJECTIVES
Current Problems in American Federalism Describe some of the abuses under
federalism, including the use of unfunded mandates and the underfunding of urban centers
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DUELING SOVEREIGN POWERS IN DUELING SOVEREIGN POWERS IN THE UNITED STATES: NOW & THENTHE UNITED STATES: NOW & THEN
At the nation’s founding, many were worried about creating an excessively powerful central government
Many viewed this as threatening the states’ sovereignty, and nearly brought a halt to the American experiment before it began
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NOW… THE RIGHT TO DIENOW… THE RIGHT TO DIE
After 15 years in a persistent vegetative state, Terri Schiavo’s husband and legal guardian, Michael, petitioned a court to remove her feeding tube
Terri’s parents disagreed and sought a series of stays against removal of any apparatus necessary to keep their daughter alive
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NOW… THE RIGHT TO DIENOW… THE RIGHT TO DIE
Family law is traditionally controlled by state authorities, and a Florida court ordered the tube be removed
Florida’s appellate courts upheld the order
Congress tried to intervene to no avail
Federal courts also ruled this was a state matter not a federal matter
Terri died 13 days after the tube was removed
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THEN… CHILD LABORTHEN… CHILD LABOR
In the early 20th century, millions of children, as young as 5 or 6, worked long hours in brutal conditions for barely any compensation
State legislatures began passing laws limiting or banning the use of child labor
This patchwork quilt of regulations varied significantly in their effectiveness
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THEN… CHILD LABORTHEN… CHILD LABOR
Despite numerous judicial rulings that states alone had the constitutional power to regulate manufacturing
In 1916 Congress passed the Keating-Owen Child Labor Act:
Banned interstate transport of goods made by children under 14 years-of-age
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THEN… CHILD LABORTHEN… CHILD LABOR
The Supreme Court ruled the Keating Act was unconstitutional
However, nearly 20 years later, spurred in part by the Great Depression
The Court ruled Congress did have the power to enact legislation restricting child labor
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OTHER EXAMPLES OF OTHER EXAMPLES OF FEDERAL/STATE CONFLICTSFEDERAL/STATE CONFLICTS
Arizona state officials’ opposition to a federal Martin Luther King Jr. holiday
Movement by Georgians to hoist a state flag with the confederate symbol
Florida state officials’ efforts to hinder federal attempts to return Elian Gonzalez to his father’s custody in Cuba
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WHAT IS FEDERALISM?WHAT IS FEDERALISM?
A central government tier and at least one major governmental subnational tier
Each tier is assigned its own significant government powers
This division of powers is sustained by whatever means possible, including court determinations defining the proper bounds of authority
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SOVEREIGNTYSOVEREIGNTY
Supreme political power of a government to regulate its affairs without outside interference
Sovereignty in federalism resides in the central government, and also within each of the subunits
The individual fifty states in the United States
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COMPARING FEDERALISM TO OTHER SYSTEMS OF GOVERNMENT
Confederation (“confederacy”):A league of two or more independent
states that unite to achieve certain specified common aims
Unitary system:Sovereignty rests in the central
government alone
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Copyright © 2012 Cengage Learning
Figure 3.1 Comparing Systems of GovernmentThe three figures below illustrate the most common configurations for (1) federal systems of government, (2) unitary systems of government, and (3) confederate systems of government. The directions of the arrows indicate the relationship that exists between the different forms of government. Note the two-way arrows found in the federal system.
GOVERNMENT POWERS IN A GOVERNMENT POWERS IN A FEDERAL SYSTEMFEDERAL SYSTEM
Enumerated powers: powers delegated to Congress under Article I of the Constitution
Reserved powers: powers retained by the states
Concurrent powers: powers shared by the federal and state governments
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THE SUPREMACY CLAUSETHE SUPREMACY CLAUSE
Article VI: the Constitution and the laws passed by Congress shall be “the supreme law of the land”
Overrides any conflicting provisions in state constitutions or state laws
Each state must also abide by Constitutional interpretations of the U.S. Supreme Court
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Copyright © 2012 Cengage Learning
THE DOCTRINE OF PREEMPTIONTHE DOCTRINE OF PREEMPTION
When Congress exercises power granted to it under Article I, federal laws may supersede state laws, “preempting” state authority
Example: federal regulation of commercial advertising of tobacco products preempted all state rules governing tobacco advertising
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YOUR PERSPECTIVE…ON YOUR PERSPECTIVE…ON AMERICAN GOVERNMENTAMERICAN GOVERNMENT
The Real-life Benefits of Attending College Close to Home
State legislatures try to attract in-state students with lower cost, in-state tuition
Students often stay, secure jobs, and contribute to the state’s economy
Should this type of discrimination and/or favoritism be allowed?
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RELATIONS BETWEEN THE STATESRELATIONS BETWEEN THE STATES
Full faith and credit clause, Article IV, Section 1: Each state must abide by the decisions of other state and local governments, including their judicial proceedings
Assures stability in commercial and personal relations beyond one state’s borders
Same-sex marriage?Copyright © 2012 Cengage Learning
RELATIONS BETWEEN THE STATESRELATIONS BETWEEN THE STATESPrivileges and immunities clause,
Article IV:Protects the rights of citizens to travel
through other states, to reside in any state, and to participate in trade, agriculture, and professional pursuits in any state
Extradition: criminals escaping to another state must be returned
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RELATIONS BETWEEN THE STATESRELATIONS BETWEEN THE STATES
Article III, Section 2: gives the U.S. Supreme Court the authority to decide disputes between states
Example: New York and New Jersey both claimed sovereign authority over Ellis Island
The Supreme Court ruled it is within the state boundaries of New Jersey
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THE HISTORY OF AMERICAN THE HISTORY OF AMERICAN FEDERALISMFEDERALISM
Presidents, Supreme Court justices, and members of Congress have played a role in shaping federalism
Flexibility has allowed federalism to adapt to changing circumstances
Scholars have identified at least five eras of American federalism—each period is defined by shifts in power
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ERAS OF AMERICAN FEDERALISMERAS OF AMERICAN FEDERALISM
State-centered federalism: 1789 –1819
National supremacy period: 1819 –1837
Dual federalism: 1837 – 1937Cooperative federalism: 1937 – 1990The “new federalism:” 1990 – present
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STATE-CENTERED FEDERALISM STATE-CENTERED FEDERALISM 1789 –18191789 –1819
Each state managed its own affairs, often with little interference from the federal government
State governments exercised a nearly exclusive role in the administration of education, family and criminal law, civil and property rights, elections, and labor relations
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NATIONAL SUPREMACY PERIODNATIONAL SUPREMACY PERIOD1819 –18371819 –1837
President John Adams’ appointment of John Marshall as chief justice of the Supreme Court was extremely significant
Marshall’s national supremacy doctrine of federalism, and broad interpretation of the necessary and proper clause gave Congress the power to expansively exercise their delegated powers
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NATIONAL SUPREMACY PERIODNATIONAL SUPREMACY PERIOD1819 –18371819 –1837
Key Marshall decisions: McCulloch v. Maryland (1819)
Gibbons v. Ogden (1824)
To Marshall, the Court’s duty was not to preserve state sovereignty, but rather “to protect national power against state encroachments”
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Copyright © 2012 Cengage Learning
Portrait of John Calhoun, circa 1830
STOCK MONTAGE/GETTY IMAGES
Gibbons v. Ogden (1824)The Supreme Court case that held that under the Constitution, a federal license to operate steamboats overrides a state-granted monopoly of New York water rights.
DUAL FEDERALISMDUAL FEDERALISM1837 – 19371837 – 1937
Marshall’s successor Roger B. Taney did not believe the federal government was “superior” to state governments
Viewed the Constitution as a “compact of sovereign states,” with the powers reserved to the states by the Tenth Amendment limiting congressional power
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DUAL FEDERALISMDUAL FEDERALISM1837 – 19371837 – 1937
The Supreme Court refused to give Congress the discretionary authority it previously enjoyed
Congress’ regulatory legislation, such as the previously discussed child labor laws, was set aside as unconstitutional
The necessary and proper clause became much less elastic
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COOPERATIVE FEDERALISMCOOPERATIVE FEDERALISM1937 – 19901937 – 1990
President Franklin D. Roosevelt (FDR) and his supporters believed the economic hardships of the Great Depression demanded an activist federal government
But the conservative Supreme Court’s opposition to aggressive New Deal policies a stood in their way
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COOPERATIVE FEDERALISMCOOPERATIVE FEDERALISM1937 – 19901937 – 1990
FDR proposed expanding the size of the Court to fifteen—allowing him to “pack” it with advocates of broader federal legislative power
Unnecessary—because as public frustration with the Court was mounting, two justices abandoned dual federalist principles in favor of FDR’s policies
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COOPERATIVE FEDERALISMCOOPERATIVE FEDERALISM1937 – 19901937 – 1990
Layer cake federalism: Authority of state and federal governments is distinct and more easily delineated
Marble cake federalism: State and federal authority are intertwined in an inseparable mixture
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POSITIVE ASPECTS OF POSITIVE ASPECTS OF COOPERATIVE FEDERALISMCOOPERATIVE FEDERALISM
Grants-in-aid: fund state programs that fulfill purposes expressly approved by Congress and/or its regulatory agencies
Block grants: may be used by state or local governments at their discretion for more generalized programs
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NEGATIVE ASPECTS OF NEGATIVE ASPECTS OF COOPERATIVE FEDERALISMCOOPERATIVE FEDERALISM
Various conditions attached to federal appropriations to the states
“Protective conditions”—designed to ensure the state administers its program consistent with Congressional objectives
Example: National Minimum Drinking Age Amendment
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THE “NEW FEDERALISM” THE “NEW FEDERALISM” 1990 – PRESENT1990 – PRESENT
President Ronald Reagan advocated federal initiatives to return policy-making authority to the states Devolution
Reagan’s emphasis on deregulation and increased state responsibilities set the stage for more sweeping reforms in the years ahead
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Copyright © 2012 Cengage Learning
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1981 New Yorker cartoon depicting President Ronald Reagan’s plans to return some federal programs to the states.
SUPREME COURT PRECEDENT SUPREME COURT PRECEDENT AND THE “NEW FEDERALISM” AND THE “NEW FEDERALISM”
1. The Court has rejected coercive federal conditions on appropriations, that leave the states with no discretion to form their own policies
2. The Court has scaled back somewhat Congress’ virtually unlimited authority to regulate interstate commerce
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SUPREME COURT PRECEDENT SUPREME COURT PRECEDENT AND THE “NEW FEDERALISM” AND THE “NEW FEDERALISM”
3. The Court has scaled back the doctrine of preemption, at least as applied to Congressional regulation of state governmental workers and employees
4. The Court has given new teeth to the Eleventh Amendment
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Copyright © 2012 Cengage Learning
This radioactive waste plant in New Mexico was built by the state with strong monetary incentives from the federal government. JOE RAEDLE/GETTY IMAGES
AMERICAN GOVERNMENTAMERICAN GOVERNMENT IN IN HISTORICAL PERSPECTIVE:HISTORICAL PERSPECTIVE:
When Must the Federal Government Put State Governments in Their Place?
1850: Fugitive Slave Act1963: Gideon v. Wainwright 2010: McDonald v. Chicago
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Copyright © 2012 Cengage Learning
Then-House Minority Whip Newt Gingrich addressing Republican Congressional candidates during the 1994 election campaign. The “Contract with America” was credited in part with helping the Republicans take back the Congress in November 1994 and with making Gingrich the first Republican Speaker of the House in forty years.
AP PHOTO/JOHN DURICKA, FILE
AMERICAN GOVERNMENT AMERICAN GOVERNMENT IN IN GLOBAL PERSPECTIVE:GLOBAL PERSPECTIVE:
Old Rivals Georgia and Florida Do Battle in a Brand New Venue
2003: proposed NAFTA extension to countries in Central America and South America
The location of the proposed Free Trade Area of America headquarters caused controversy
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WHY FEDERALISM? ADVANTAGES WHY FEDERALISM? ADVANTAGES AND DISADVANTAGESAND DISADVANTAGES
Advantages:Accommodation of DiversityStrengthening of Liberty Through the
Division of PowersMadison’s prophecy Encouragement of Laboratories of
DemocracyAdaptability to Changing Circumstances
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Copyright © 2012 Cengage Learning
Like this Texan, many citizens take pride in their home states.
An interstate highway beset with construction. Many states must rely heavily on federal construction funds to help them maintain roads and highways.
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WHY FEDERALISM? ADVANTAGES WHY FEDERALISM? ADVANTAGES AND DISADVANTAGESAND DISADVANTAGES
Disadvantages: Fiscal Disparities among the States
Lack of Accountability
Undue Reliance on Courts to Define the Rules of Federalism
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CURRENT PROBLEMS IN CURRENT PROBLEMS IN AMERICAN FEDERALISMAMERICAN FEDERALISM
Unfunded Mandates: federal directives to the states requiring them to perform regulatory tasks at their own expense
The Growing Crisis in Big Cities: inequities in a system that relies heavily on each state to fund many of its own social programs Needs often outstrip the city’s tax base
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Copyright © 2012 Cengage Learning
A public school in Camden, New Jersey, which first opened in 1887.
A modern public high school in the wealthy suburb of Hudson, Ohio.
AP PHOTO/TIMLARSEN
AP PHOTO/LUKE PALMISANO
NOW & THEN: MAKING THE NOW & THEN: MAKING THE CONNECTIONCONNECTION
When Congress initially attempted to legislate against child labor it ran squarely into a tradition of federalism
When congressional leadership intervened in the Terri Schiavo case it was again rebuffed
Where should the line be drawn between state and federal powers?
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POLITICS INTERACTIVE!POLITICS INTERACTIVE!
THE MEDICAL USE OF MARIJUANAThe federal Marijuana Tax Act of 1937
prohibited the use of cannabis as a prescription drug
California and other states have recently passed laws that allow the use of cannabis for medical purposes
Who wins this conflict?Copyright © 2012 Cengage Learning
POLITICS INTERACTIVE!POLITICS INTERACTIVE!
Gonzales v. Raich (2005):The U.S. Supreme Court ruled in favor
of the federal governmentRuled that Congress has authority
under the commerce clause to regulate activities such as marijuana use that have a substantial impact on interstate commerce
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POLITICS INTERACTIVE!POLITICS INTERACTIVE!www.cengage.com/dautrich/
americangovernment/2eFind the politics interactive link for details
on why the use of cannabis in medical treatment remains a point of controversy in federal-state relations
Learn how the National Organization for the Reform of Marijuana Laws (NORML) is working with states and policymakers
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