Chapter 3
 What

is Federalism?
Definition: A way of organizing a nation so that
two or more levels of government have formal
authority over the land and people.
 Intergovernmental

Relations-
Definition: The workings of the federal systemthe entire set of interactions among national,
state and local governments.
A
way of
organizing a
nation so that
two or more
levels of
government
have formal
authority over
the land and
people.
 Why

Decentralizes our politics


is Federalism So Important?
More opportunities to participate
Decentralizes our policies


Which government should take care of which problem?
States can solve the same problem in different ways.
This Constitution, and the Laws of the United States
The Division of Power
which shall be made in pursuance thereof; and all
Supremacy Clause - power clearly delineated
treaties made, or which shall be made, under the
The U.S. Constitution
authority of the United States, shall be the supreme law
Laws of Congress
of the land; and the judges in every state shall be bound
Treaties
thereby, anything in the constitution or laws of any state
State Constitutions
to the contrary notwithstanding.
State Laws
Federalist Papers
Article I Section 8 (US Constitution)
Section 8: Powers of Congress
Enumerated powers
Main article: Enumerated powers
Congress's legislative powers are enumerated in Section Eight:
The Congress shall have power To lay and collect Taxes, Duties, Imposts and Excises, to pay the Debts and provide for the common defence[note 1]
and general Welfare of the United States; but all Duties, Imposts and Excises shall be uniform throughout the United States;
To borrow Money on the credit of the United States;
To regulate Commerce with foreign Nations, and among the several States, and with the Indian Tribes;
To establish a uniform Rule of Naturalization, and uniform Laws on the subject of Bankruptcies throughout the United States;
To coin Money, regulate the Value thereof, and of foreign Coin, and fix the Standard of Weights and Measures;
To provide for the Punishment of counterfeiting the Securities and current coin of the United States;
To establish Post Offices and post Roads;
To promote the Progress of Science and useful Arts, by securing for limited Times to Authors and Inventors the exclusive Right to their respective
Writings and Discoveries;
To constitute Tribunals inferior to the supreme Court;
To define and punish Piracies and Felonies committed on the high Seas, and Offenses against the Law of Nations;
To declare War, grant Letters of Marque and Reprisal, and make Rules concerning Captures on Land and Water;
To raise and support Armies, but no Appropriation of Money to that Use shall be for a longer Term than two Years;
To provide and maintain a Navy;
To make Rules for the Government and Regulation of the land and naval Forces;
To provide for calling forth the Militia to execute the Laws of the Union, suppress Insurrections and repel Invasions;
To provide for organizing, arming, and disciplining, the Militia, and for governing such Part of them as may be employed in the Service of the
United States, reserving to the States respectively, the Appointment of the Officers, and the Authority of training the Militia according to the
discipline prescribed by Congress;
To exercise exclusive Legislation in all Cases whatsoever, over such District (not exceeding ten Miles square) as may, by Cession of particular States,
and the Acceptance of Congress, become the Seat of the Government of the United States, and to exercise like Authority over all Places purchased
by the Consent of the Legislature of the State in which the Same shall be, for the Erection of Forts, Magazines, Arsenals, dock-Yards, and other
needful Buildings;—And
To make all Laws which shall be necessary and proper for carrying into Execution the foregoing Powers, and all other Powers vested by this
Constitution in the Government of the United States, or in any Department or Officer thereof.
 Establishing

Implied Powers





McCulloch v. Maryland
“necessary and proper” – elastic clause
Commerce Powers


National Supremacy
Gibbons v Ogden
Civil rights movement expanded the powers
The Civil War
The Struggle for Racial Equality



Expressed powers of the national government are those
directly stated in the Constitution of the United States
(e.g., levy and collect taxes, make war, regulate trade
among the states).
Implied powers of the national government are those not
specifically listed in the Constitution of the United States
but held by the national government in order to carry out
the expressed powers (e.g., establish a national bank). The
authority for implied powers comes from the elastic or
“necessary and proper” clause (Article I, Section 8, Clause
18).
Inherent powers of the national government are those
that it may exercise simply because it is the national
government of a sovereign state (e.g., establish diplomatic
relations, regulate immigration).
 States’

Obligations to Each Other
Full Faith and Credit – recognize documents and civil
judgments of other states


Extradition
Privileges and Immunities
creepy
 Dual



Federalism
Definition: A system of government in which both
the states and the national government remain
supreme within their own spheres, each
responsible for some policies.
Like a layer cake
Ended in the 1930’s
Cake?
 Cooperative




Federalism
Definition: A system of government in which
powers and policy assignments are shared
between states and the national government.
Shared costs
Shared administration
States follow federal guidelines



Defined: the pattern
of spending, taxing,
and providing grants
in the federal system.
The major way the
federal government
has grown in power is
through using money
as a manipulator.
Federal aid makes up
21% of state and local
governments and 16%
of the federal budget.
“He who pays the piper calls
the tune”

Grants-in-aid are the
main instruments the
national government
uses for both aiding
and influencing states
and localities.

Began during the
1930’s.

The real shift
towards more
federal power
began in the
1960’s.

Federal Grants to State and Local Governments (Figure 3.1)
1.
2.
3.
4.
Block Grants -broad program grants given more or less
automatically to states and communities, which exercise
discretion in how the money is spent.
Categorical grants- grants that can be used for specific
purposes or categories of state and local spending.
Categorical Formula Grants- a type of categorical grant
where states and local governments do not apply for a
grant but are given funds on the basis of a formula.
Mandates- when Congress requires a program to be put in
place. Often, these mandates are unfunded.
 Fiscal

Federalism continued:
The Grant System: Distributing the Federal Pie



Categorical Grants: Federal grants that can be used for
specific purposes. They have strings attached.
 Project Grants- based on merit
 Formula Grants: amount varies based on formulas
Block Grants: Federal grants given more or less
automatically to support broad programs.
Grants are given to states & local governments
 Fiscal

Federalism continued…
The Scramble for Federal Dollars

$350 billion in grants every year
Universalism- a little something for everybody
The Mandate Blues
 Mandates are the “strings” attached to federal



money
Unfunded mandates are requirements on state & local
governments- but no money
5.
6.
7.
Cross-Over Sanctions- using federal dollars
in one program to influence sate and local
policy in another.
Cross-Cutting Requirement- a condition on
one federal grant is extended to all
activities supported by federal funds
regardless of their source.
Pre-emption- The federal government
makes a law that targets and undercuts a
state law.
 Advantages
for
 Disadvantages
Democracy
Democracy
Increasing access to
government
 Local problems can
be solved locally
 Hard for political
parties / interest
groups to dominate
ALL politics




for
States have
different levels of
service
Local interest can
counteract national
interests
Too many levels of
government- too
much money
 State
Welfare Benefits (Figure 3.3)
 Spending
on Public Education (Figure 3.4)
 Federalism


and the Scope of Government
Which level of government is best able to solve
the problem?
Which level of government is best able to fund
solutions to the problem?

The Public Sector and the Federal System (Figure 3.5)
1.
Gun Free Schools Act of 1990- forbids the possession of
firearms in public schools

2.
Brady Handgun Violence Prevention Act- mandated that
the chief law enforcement officers in each local
community conduct background checks on gun
purchasers.


3.
Issue (s): US v. Lopez said Congress extended
Constitutional authority to regulate commerce.
Printz v. United States and Mack v. US said “the federal
government may neither issue directives requiring the
states to address particular problems, nor commend the
states’ officers, or those of their political subdivision to
administer or enforce a federal regulatory program.” i.e.
mandate voided.
Issue (s):
Federal Mandate to Raise the Drinking Age to 21- states
are now required to raise drinking age to 21 in order to
receive federal funds for highways.
- Issue (s):
Americans With Disabilities Act- required states to make
facilities, such as state colleges and universities
accessible to individuals with disabilities. No funds to
support, though.
1.
•
Issue (s)
Civil Rights Act 1964- bars discrimination in the use of
federal funds because of race, color, national origin,
gender, or physical disability. Southern states blocked
legislation for a long time and refused to accept court
rulings Many schools today lose funding for all programs
if discriminates illegally in one program.
2.
•
Issue (s)
Clear Air and Water Act of 1970- national air quality
standards but requires states to administer them and to
appropriate funds for their implementation
3.
•
Issue (s)
1.
NCLB- Largest expansion of federal
government’s role in education since LBJ.
1.
2.
2.
several states in the process of challenging federal
education regulations as education has traditionally
been viewed as being run by the state and local
governments.
Issue (s):
Defense of Marriage Act- permits states to
disregard gay marriages, even if legal in U.S.
1.
Issue (s):
2.
10. Hurricane Katrina- best recent
illustration of complex relationship between
federal and state governments.
September 11, 2001- Congress imposed sizable
mandates on the states to increase ability to
deal with acts of terrorism, but no resources
necessary to increase state and local
capabilities.

Other issues:
1.

Child labor laws, minimum-wage legislation,
unemployment compensation, antipollution
legislation, civil rights protections, income tax,
welfare reform, and health care.
1.
2.
3.
4.
5.
6.
Encourages experimentalism
Decentralization of politics. Gives individuals more
opportunities to participate in government, therefore
increasing access to government.
Decentralization of policies. Two levels increase
opportunities for government to respond to demands for
policies.
If a party loses strength at the national level, it can
rebuild and groom leaders at the state and local levels.
Diversity of opinions to be reflected in various policies
among the states.
Reduces decision making and conflict at the national
level.
1.
2.
3.
4.
5.
Inequality among regions
Quality of services dependent on the state in
which the service is provided.
Diversity in policy discourages states from
providing services that would otherwise be
available because poor people may be
attracted from states with lower benefits.
Local interests impede national majority
support of certain policies.
So many local governments make it difficult
for many Americans to know which
government is responsible for various
functions.
1.
Growth of judicial power