John N. Lee
Florida State University
Summer 2010
John N. Lee (Florida State University)
Federalism
Summer 2010 1 / 23

1
2
Unitary Government
−
“A system of government in which a single government unit holds the power to govern the nation (KGK, 794).”
By far the most common.
Lower levels of government created exclusively by upper levels of government.
Federalism
−
“A system of government in which power is divided between a central government and several regional governments
(KGK, 784).”
John N. Lee (Florida State University)
Federalism
Summer 2010 2 / 23

1
2
3
“The same people and territory included in both levels of government
(KGK, 100).”
Independence
−
“The nation’s constitution protects units at each level of government from encroachment by the other units (KGK,
100).”
“Each unit is in a position to exert some leverage over the other(s)
(KGK, 100).”
John N. Lee (Florida State University)
Federalism
Summer 2010 3 / 23

United States is a two
− level federalist system.
The constitution prescribes that the federal government and the states are the two units of government.
Some argue that the United States is a three-level federalist system. That the local governments comprise the third layer.
Clinton v. Cedar Rapids and Missouri River R.R. (1868) supreme court decision which ruled that local governments are
− exclusively the creation of the state governments and thus do not comprise a third unit.
Iowa
John N. Lee (Florida State University)
Federalism
Summer 2010 4 / 23

1.) Dual Federalism
−
National and state governments preside over mutually exclusive spheres of influence.
In the Federalist No. 45 Madison argues for Dual Federalism .
1
2.) Cooperative Federalism
−
“...the people, not the states, created and animated the federal government. This view holds that the Supremacy
Clause and the Necessary and Proper Clause, not the Tenth Amendment, would control the balance of power between the federal government and the states (Epstein et al, 325).”
1 Madison argues that there are two safeguards to national tyranny. First, the Senate was elected by the state legislatures. Second, the tenth amendment. See further discussion in these slides.
John N. Lee (Florida State University)
Federalism
Summer 2010 5 / 23

3.) New Judicial Federalism
−
“...this doctrine refers to the renewed willingness of state courts to rely only on state law, especially estate constitutional law, when deciding cases involving individual rights (Epstein et al, 326).”
Michigan v. Long (1983)
−
Supreme Court overturn state Supreme Court decision which was based on federal law.
Supreme Court also rules that state decisions should not be reviewed if they are based on state law.
Did Bush v. Gore (2000) revise Michigan v. Long (1983) ?
John N. Lee (Florida State University)
Federalism
Summer 2010 6 / 23

1
2
3
Necessary and Proper Clause
−
Allows congress to pass laws which are implied by their enumerated powers.
Tenth Amendment
−
“Reserves to the states or to the people only power that has not been delegated (expressly or otherwise) to
Congress (Epstein et al, 330).”
Supremacy Clause
−
“[P]laces the national government at the top within its sphere of operation (Epstein et al, 330).”
John N. Lee (Florida State University)
Federalism
Summer 2010 7 / 23

McCulloch v. Maryland (1819)
1
−
Congress can pass legislation under the authority of implied powers.
This power is only bounded by the following condition. “Let the end be legitimate, let it be within the scope of the constitution, and all means which are appropriate which are plainly adapted to that end, which are not prohibited, but consist with the letter and spirit of the constitution are constitutional.”
2
3
Tenth Amendment is no impediment to national authority.
Supremacy Clause puts the federal government at the top of its sphere and because No 1 is expansive this sphere is very large.
John N. Lee (Florida State University)
Federalism
Summer 2010 8 / 23

Scott v. Sanford (1857)
1
−
Background:
Scott is a slave who spent time in a free state. His owner sued for
Scott’s emancipation.
2 Ruling:
Citizens are not subjects of the United States rather the individual states they reside in.
Congress did not have the authority to regulate slavery.
Status of slaves depends on the laws of the state where they voluntarily returned.
John N. Lee (Florida State University)
Federalism
Summer 2010 9 / 23

−
Hammer v. Dagenhart (1918)
−
Supreme Court strikes down anti-child labor law.
Supreme Court rules that the trade of products which result from child labor is interstate commerce.
Supreme Court rules that law violated the states’ abilities to police themselves.
During this period the Supreme Court was principally concerned with protecting the laissez faire economic system .
Laissez Faire Economic System the economy.
−
Little government control over
John N. Lee (Florida State University)
Federalism
Summer 2010 10 / 23

United States v. Darby Lumber (1941)
−
Background:
Dealt with federal law (Fair Labor Standards Act) requiring minimum wage and weekly hourly work maximums.
Ruling:
Overruled Hammer v. Dagenhart (1918) .
Ruled that the Tenth Amendment could not be used for states’ rights in the face of federal action.
John N. Lee (Florida State University)
Federalism
Summer 2010 11 / 23

National League of Cities v. Usery (1976)
−
Background:
Dealt with Fair Labor Standards Act (again) which had been extended to cover employees of the states.
Ruling:
The Supreme Court ruled that the Tenth Amendment prohibited
Congress from regulating state employees performing traditional governmental function (e.g. states can decide how much to pay their own employees).
John N. Lee (Florida State University)
Federalism
Summer 2010 12 / 23

Garcia v. San Antonio Metropolitan Transit Authority (1985)
Background:
−
Case arouse when SAMTA refused to follow the Fair Labor Standards
Act.
Ruling:
1
2
Supreme Court ruled that the traditional governmental function test was insufficient since it was hard to define.
Supreme Court ruled that the Fair Labor Standards Act applied to state employees.
John N. Lee (Florida State University)
Federalism
Summer 2010 13 / 23

New York v. United States (1992)
−
Supreme Court strikes down provisions of the Low Level Radioactive Waste Policy Act which require states to pass legislation to fulfill their obligations under the act.
Printz v. United States (1997)
−
Supreme Court rules the provision of the Brady Handgun Violence Prevention Act which requires local officials to run background checks on gun buyers is unconstitutional (that the federal government cannot undertake this action).
John N. Lee (Florida State University)
Federalism
Summer 2010 14 / 23

Preemption Legislation
−
“Laws passed by Congress that override or preempt states or local policies (KGK, 790).”
This power is derived from the Supremacy Clause.
Not used very frequently.
John N. Lee (Florida State University)
Federalism
Summer 2010 15 / 23

Two Broad Ways Federal Government Influences State Governments
1
2
Carrots
−
Financial inducements given by the federal government to encourage specified state actions.
Sticks
−
Laws penalizing states for not taking actions the federal governments want them to take.
John N. Lee (Florida State University)
Federalism
Summer 2010 16 / 23

−
Grants
−
In
−
Aid
−
“Funds given by Congress to State or local governments for a specific purpose (KGK, 786).”
John N. Lee (Florida State University)
Federalism
Summer 2010 17 / 23

−
−
1
2
Block Grant
−
“A broad grant of money given by the federal government to a state government. The grant specifies the general area in which the funds may be spent but, leaves it to the state to determine the specific allocation (KGK, 783).”
Matching Grant
−
“A grant of money given by the federal government to a state government for which the federal government provides matching funds, usually between one and two dollars, for every dollar the state spends in some area (KGK, 788).”
John N. Lee (Florida State University)
Federalism
Summer 2010 18 / 23

−
Four methods Federal Government uses to prescribe state policy and control its administration.
1.) Cross
− cutting Requirements
−
“[S]tatutes that apply certain rules and guidelines to a broad area of federally subsidized state programs
(KGK, 132).”
2.) Crossover Sanctions
−
Legislation which “stipulates that a state, to remain eligible for full federal funding for one program, must adhere to the guidelines of an unrelated program (KGK, 132).”
E.g. Highway funding in exchange for states lowering the drinking age.
John N. Lee (Florida State University)
Federalism
Summer 2010 19 / 23

−
Four methods Federal Government uses to prescribe state policy and control its administration.
3.) Direct Orders
−
“Regulations that can be enforced by legal and civil penalties (KGK, 132).”
4.) Partial Preemption
−
“[C]ertain federal laws allow the states to administer joint federal-state programs so long as they conform to federal guidelines (KGK, 132).”
John N. Lee (Florida State University)
Federalism
Summer 2010 20 / 23

−
Unfunded Mandates
−
Federal Government directs to state and local governments for increased policy with no money provided.
Large temptation for federal officials to use these types of policies since they get the policy they desire and spend no money in the process!
Unfunded Mandates Reform Act (1995)
−
“[R]equired that new federal laws pay for the programs and regulations they impose on the states (KGK, 134).”
Unfortunately this law has had little impact.
John N. Lee (Florida State University)
Federalism
Summer 2010 21 / 23

Federal Government can preempt state laws when actions deal with foreign affairs.
1 State of Missouri v. Holland (1920)
−
In 1913 Congress passes law to regulated migratory birds in Missouri.
This law is later struck down as unconstitutional.
Three years later U.S. and U.K. enter into treaty to regulate migratory birds. Congress follows this act with Migratory Bird Treaty Act (1918) , which is similar to the first law.
Supreme Court rules that second law is constitutional since it has to do with the federal governments enforcement of a power related to foreign relations.
John N. Lee (Florida State University)
Federalism
Summer 2010 22 / 23

1
2
3
Lobbying the federal government is easier than lobbying the individual fifty states.
It avoids heterogenous state policies.
When a group or individual’s state of residence opposes the policy they are pushing.
John N. Lee (Florida State University)
Federalism
Summer 2010 23 / 23