Federalism
John N. Lee
Florida State University
Summer 2010
John N. Lee (Florida State University)
Federalism
Summer 2010
1 / 23
Styles of government
1
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.
2
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
Characteristics of Federalist Interactions
1
“The same people and territory included in both levels of government
(KGK, 100).”
2
Independence − “The nation’s constitution protects units at each
level of government from encroachment by the other units (KGK,
100).”
3
“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
Federalism in the United States
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) − Iowa
supreme court decision which ruled that local governments are
exclusively the creation of the state governments and thus do not
comprise a third unit.
John N. Lee (Florida State University)
Federalism
Summer 2010
4 / 23
Types of Federalism in the U.S.
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
Types of Federalism in the U.S.
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
Sources of National Power
1
Necessary and Proper Clause − Allows congress to pass laws which
are implied by their enumerated powers.
2
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).”
3
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
The Marshall Court and Cooperative Federalism
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
The Taney Court and Dual Federalism
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
Dual Federalism and Laissez Faire Economics
(1890’s−1930’s)
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 − Little government control over
the economy.
John N. Lee (Florida State University)
Federalism
Summer 2010
10 / 23
(Re) Emergence of National Supremacy: Cooperative
Federalism
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
(Re) Emergence of National Supremacy: Cooperative
Federalism
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
(Re) Emergence of National Supremacy: Cooperative
Federalism
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
Dual Federalism Returns (1990-Present)
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
Federal Influence over States
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
Federal Influence over States
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
Federal Influence over States − The Carrots
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
Types of Federal Grants−In−Aid
1
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).”
2
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
Federal Influence over States − The Sticks
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
Federal Influence over States − The Sticks
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
Federal Influence over States − The Sticks
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 Preemptions - Foreign Affairs
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
Why Choose Federal Government to make Policy?
1
Lobbying the federal government is easier than lobbying the individual
fifty states.
2
It avoids heterogenous state policies.
3
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