By Loren Miller
A Unitary System
Where the national government has
ultimate authority.
-France, Japan and Great Britain
Sovereignty
National Government
Regional Governments
A Unitary System
Most nations have a unitary government
All 50 states have a unitary system
Power
Texas
City of Plano
A Unitary System
Advantages:
- Smaller government
- Uniformity of policies
- Greater uniformity and stability
Disadvantages:
- Slow in meeting local problems
- Bureaucracy
- No balance of power
A Confederation
Where the regional governments have
ultimate authority.
- The United Nations
- Articles of Confederation (1781)
- European Union
Sovereignty
Regional Governments
National Government
A Confederation
Advantages:
- Keeps power at the local level
- Minimizes growth of central
government
- Allows member states to retain
their identity
Disadvantages:
- No independent taxing authority
- Lack of unity
A Federal System
Where the national government and
the regional governments share
authority; a division of powers.
-Germany, Canada, United States
Sovereignty
National Government
Regional Governments
A Federal System
Advantages:
- National unity but local governments
handle local concerns
- Greater ability for citizen participation
- Local officials have to be responsive
to the people who elect them
- Central government can devote more
time to national and international
problems
A Federal System
Disadvantages:
- Duplication of services
- Disputes over national power and
states rights
- Citizens in different parts of the
country may be treated differently
(legal penalties may be different,
welfare benefits may be different,
civil rights laws may be enforced
differently)
Should Whether You Live Depend on Where You Live?
Should Whether You Serve Time Depend on Where You Live?
The Argument for Federalism
It would correct two major defects in the
Articles of Confederation:
- The national government did not have
the power to raise money
- The government could not maintain an
army to prevent encroachment
by European powers
- The government could not maintain a
navy to protect American
merchant ships
The Argument for Federalism
- The national government did not have
the power to regulate commerce
among the states
- The national government could not
promote the general economy
- The national government could not
prevent trade wars between the
states
The Anti-Federalist Argument
Fear that a strong central government would
swallow up the states
A distant national government would be
unresponsive to local interests
- Montesquieu
Types of Powers
Enumerated Powers: Article I of the Constitution grants to
Congress seventeen expressed powers; these powers
belong to the national government
Regulate Interstate Commerce
Declare War
Raise an Army and a Navy
Coin Money
Borrow Money
Establish Post Offices
Lay and Collect Taxes
Types of Powers
Supremacy Clause: Article VI of the Constitution provides that
“the laws of the United States . . . Shall be the supreme
law of the land.”
This is an admission that the lawful exercise of
national authority would at times conflict with the laws
of the states.
Types of Powers
Implied Powers: Article I, Section 8 is known as the “necessary
and proper” clause (elastic clause). This gives Congress
the power to “make all laws which shall be necessary
and proper for carrying out enumerated powers.”
To raise an army and a navy = the ability to institute a draft
To raise an army and a navy = Uniform Code of Military Justice
To tax and spend = Create a National Bank
Interstate Commerce = Kidnapping a person across state lines
Interstate Commerce = Regulate employment conditions
Types of Powers
Reserved Powers: The Anti-Federalists were concerned that the
“supremacy clause” and the “necessary and proper
clause” would provide for an overly powerful national
government and they demanded a constitutional
amendment to protect states’ rights and interests.
The Tenth Amendment states that “The powers not
delegated to the United States by the Constitution, nor
prohibited by it to the states, are reserved to the States.”
Administer Elections
Regulate Intrastate Commerce
Establish Local Governments
Public Safety (Police and Fire)
Police Powers: health, morals, safety and welfare
Types of Powers
Concurrent Powers: Powers that are conferred upon the
national government but are also exercised by the
states.
Taxation
Maintain Courts
Borrow Money
Charter Banks
Regulating Health
Regulating Education
States’ Obligations to Each Other
Full Faith and Credit: states must give full faith and credit to the
public acts, records, and civil judicial proceedings of
every other state
-- without this someone could avoid obligations
on a loan by moving to another state
-- if a state recognizes same sex marriages, can
another state not?
Extradition: if a person breaks a state law and flees to another
state, the Constitution requires them to be returned for
trial
-- there is no way to enforce this requirement
States’ Obligations to Each Other
Privileges and Immunities: each state is required that citizens of
each state receive the same privileges and immunities as
citizens of their own state
-- if a Texan visits New Mexico, they would pay
the same sales tax as a New Mexico
citizen
There are many exceptions:
-- a state university may charge more for out of state
residents than for in-state residents
The Supreme Court has never clarified just what privileges and
immunities a state must make available to all Americans.
Historical Perspective
Federalism is a contentious and dynamic system which has
created conflict between the national government and
the states.
Eras of Federalism:
Building the Union (1789-1865)
Dual Federalism (1865-1937)
Contemporary Federalism (Since 1937)
Building the Union
Battles between the national government and the states began
early in the history of the United States. Most of these battles
were fought in the courts and most favored the national
government. One notable exception was Dred Scott v. Sanford
(1857).
The Civil War was fought over the struggle between the national
government and the states. The Union represented the power of
the national government while the Confederacy represented
state sovereignty.
Building the Union
McCulloch v. Maryland (1819):
-- the Second Bank of the United States was created and
fears of the national government’s control of the
economy and control by elites fueled the concern
of farmers and state legislatures.
-- the State of Maryland passed a law which taxed the
Baltimore branch of the national bank.
-- Maryland argued that the Constitution did not allow
Congress to create a national bank.
-- the Supreme Court ruled that as long as the power is
not denied in the Constitution and is within the
spirit of the Constitution, it is constitutional.
-- the national government has certain implied powers
that go beyond its enumerated powers.
Building the Union
Dartmouth College v. Woodward (1819):
-- in 1769 King George III granted a charter to Dartmouth
College.
-- in 1816 the legislature of New Hampshire attempted to
alter Dartmouth’s charter to convert it from a
private college to a public institution.
-- the Supreme Court ruled that the charter was a
contract between the King and the trustees
which the legislature could not interfere.
-- this strengthens the contract clause in the
Constitution and limits the power of the states to
alter contracts.
Building the Union
Gibbons v. Ogden (1824):
-- Ogden had a New York license to operate a steamboat
within New York waters
-- Gibbons had a license issued by the Congress to
operate a steamboat service from New Jersey to
New York City.
-- Ogden filed a complaint to restrain Gibbons from
operating in New York waters.
-- the Court ruled that commerce among the several
states is more than the trade of commodities—it
is intercourse which includes navigation.
-- “interstate commerce” is broadly defined to expand
the powers of the national government.
Dual Federalism
Dual Federalism was based on the idea that there was a precise
separation between national and state authority and between
government and the economy.
-- interstate commerce, defense and the postal system
belonged exclusively to the national government.
-- public health, schools and intrastate commerce
belonged exclusively to the states.
Layer Cake Federalism
National Government
No Interaction Between Layers
State Governments
Dual Federalism
The Industrial Revolution gave rise to large
business firms (monopolies) which were using
their economic power to dominate markets
and exploit workers.
Which level of government, national or state,
would regulate business?
Dual Federalism
Hammer v. Dagenhart (1918):
-- Congress prohibits the interstate shipment of
goods produced by child labor. There was
great public support for this as factory
owners were exploiting children working
them for long hours for low pay.
-- the Supreme Court invalidates the law ruling that
the Tenth Amendment gave the states, not
the national government, the power to
regulate factory practices.
The Supreme Court set a high wall between government
and the economy (laissez-faire economics).
Dual Federalism
While the white South had lost the Civil War,
they were not about to share power with the
newly freed slaves.
Would the national government be allowed to
intervene in state affairs to ensure the fair
treatment of African Americans?
Dual Federalism
Plessey v. Ferguson (1896):
-- Louisiana requires separate railroad cars for
blacks and whites.
-- Plessey is required to sit in a railroad car
reserved for blacks and he claims that
this violates the equal protection clause
of the Fourteenth Amendment.
The Supreme Court rules that the states will be supreme
in racial policy.
Cooperative Federalism
Imagine that you are flat broke: no job, no
money, no food, no prospects, a pile of
overdue bills on the table, and creditors
banging on your door.
Out of the blue, your rich uncle calls and offers
you a million dollars. Would you take the
money?
-- What if Uncle Sugar puts strings on his handout?
What if you could only spend the money on what he
thought was important?
Cooperative Federalism
The national government operates in many
areas that were once almost exclusively the
domain of states and localities. The national
government does not dominate in these policy
areas, but it does play a significant role.
Cooperative Federalism
The New Deal (Franklin D. Roosevelt)
-- Federal Deposit Insurance Corporation
-- Civilian Conservation Corp
-- Public Works Administration
-- Security and Exchange Commission
Most of the New Deal programs dealt with
economic issues.
Cooperative Federalism
Cooperative federalism is based on shared responsibilities.
-- Medicaid is jointly funded by the national and
state governments
Marble Cake Federalism
National Government
Multiple Interactions
State Governments
Regulated Federalism
The Great Society (Lyndon Johnson)
-- he believed that the national government
should be used to assist the
economically disadvantaged.
-- the Constitution does not grant Congress the
power to regulate “social welfare.” However,
Congress may tax and spend for that
purpose.
-- created federal assistance grants in health care,
public housing, nutrition, education, and
urban development.
-- coercive in that there were many restrictions
placed on states and localities as a condition
for accepting federal money.
Regulated Federalism
National authority has increased because of
interdependency.
Modern systems of transportation, commerce and
communication transcend local and state boundaries.
Some are national and international in scope.
Interdependency has encouraged national, state and local
policymakers to work together to solve policy problems.
Regulated Federalism
National government sets policy for the states
National
standards
Conditional
grants
Unfunded
mandates
State governments help pay for
and administer programs
New Federalism
New federalism refers to the expenditure of federal funds on
programs run in part through state and local governments.
The national government’s revenue-raising advantage has
made money a basis for relations between the national
government and the states and localities.
The federal government provides some or all of the money
through grants-in-aid (cash payments). Roughly twenty
percent of state and local expenditures comes from the
national government.
New Federalism
Cash grants have increased Washington’s policy influence.
While state and local governments can reject grants-in-aid,
if they accept the money then they must spend it in the way
specified by Congress.
Because most grants require states to contribute matching
funds, the federal programs determine how states will
allocate some of their own tax dollars.
While state and local officials often complain that federal
grants contain too many restrictions, most of them are
eager to have the money as it permits them to offer services
they otherwise could not afford.
With Federal Money Come Federal Restrictions
Federal Grants-in-Aid in Billions
New Federalism
Categorical Grants: can only be used for a designated
activity.
-- school lunch programs
-- Medicaid
-- Food Stamp program
-- Head Start
Restrictions:
-- a nondiscrimination provision is common
-- an environmental impact statement
-- e.g., if a state doesn’t raise its drinking age to
twenty- one they will lose federal highway
funds
New Federalism
There are two types of categorical grants:
-- Project Grants (the more common) are awarded on
the basis of competitive applications (merit
based).
-- cancer research
-- National Science Foundation
-- Formula Grants are awarded based on a formula
(population; per capita income, etc.) and are
automatically given to recipients.
-- child nutrition programs
-- Medicaid
-- public housing
-- community development programs
New Federalism
Complaints about the cumbersome paper work and the
many strings attached to categorical grants has led to the
adoption of block grants.
These are given more or less automatically to states or
communities, which then have discretion within broad areas
in deciding how to spend the money.
-- law enforcement
-- social services
-- prevent child abuse
-- increasing the availability of child care
-- community based care for the elderly
New Federalism
National government provides funding
Block
grants
Revenue
sharing
Devolution
(No strings
attached)
State governments have flexibility to make policy
and administer programs
The Changing Federal Framework
1789-1937
Dual
Federalism
1789-1937
1937
Cooperative
Federalism
1937-1960
1960
1970
Regulated
Federalism
1960s-1970s
2000
New
Federalism
1970s-
2015
Public Opinion
Public opinion has had a decisive influence on the
ebb and flow of federal power. As American attitudes
toward the national government and the states
changed, the balance of power between the two also
shifted.
-- During the Great Depression, when it was
clear that the states would be unable to
help, Americans turned to Washington
for relief. While this was a radical
departure from the past, a 1936 Gallup
poll indicated that 61% supported the
New Deal programs.
Public Opinion
-- Lyndon Johnson’s Great Society was also
driven by public demand. People wanted
better services from government. When
the states were slow to respond,
Americans pressured federal officials to
act. Medicare and Medicaid programs
are examples of Congress’ response. A
1965 Gallup poll indicated that 2/3s of
Americans approved even though health
care had traditionally been the
responsibility of the states.
Public Opinion
-- In the 1990s, Americans dissatisfaction with
federal programs was high and that the
national government had become too
large and intrusive. This led to the 1994
Republican takeover of Congress.
-- In similar fashion, Americans backed the
economic stimulus bill that the
Democrats enacted in 2009. Seventy
percent of Americans believed that the
stimulus bill was “critically important” or
“important” to the nation’s economic
recovery.
Public Opinion
-- Just one year later (2010) as the federal
deficit continued to mount, polls
indicated that a majority of Americans
believed the government in Washington
was spending too freely. Campaigning
on the theme of a smaller national
government, Republican candidates ran
strongly in the 2010 midterm elections
and Republican presidential candidates
in 2012 echoed this theme.
Public Opinion and the Power of the Federal Government
(%)
2014
Problems
One central problem of giving too much
responsibility to the states is the huge variation in the
distribution of resources.
Without federal funding, poor states cannot provide
an adequate level of benefits because they have
greater needs.
Poverty Rates by States, 2012
% Below Poverty Line
Per Capita Income by States, 2012
In Thousands