Chapter Four
Federalism
Instructor: Kevin Sexton
Course: U.S. Political Systems
Southeast Missouri State University
What is sovereignty?
&
Who has it?
Sovereignty: who has ULTIMATE AUTHORITY.
In this class we will discuss GOVERNMENTAL SOVEREIGNTY.
• which government has the ultimate authority over
a specific geographic region or area.
To better understand the concept lets look at the three most
common forms of governmental structures found in the world:
1. Unitary
2. Confederation
3. Federal
Unitary Government
Unitary Form of Government:
• Sovereignty rests with one central government.
• The central government has the authority to create and disband
all other levels of government.
• Most common of the three forms of government.
•Great Britain and France are examples of this form.
• There are local governments in Great Britain and France,
but they act primarily as administrative arms of the
national/central government.
• In addition, they receive their legitimacy, or right to exist
from the national/central government.
Confederation
Confederation Form of Government:
• Sovereignty rests with each individual member of the group.
• National/central government receives its power or authority
from the group of individual members.
• United States under Articles were an example of this.
• Southern States during the Civil War were another example.
• Many other examples of this type of relationship.
• European Union
• O.P.E.C.
• A.F.L.C.I.O
• SEMO’s Greek Council
Federalism
Federal Form of Government:
• Sovereignty is shared between a national/central government
and other levels of government (State Governments).
• The United States and Germany are examples of this form of
government.
• Least common of the three forms of government.
• Sovereignty over the same geographic regions is shared by
more than one governmental unit.
Shared Sovereignty
Here are SOME of the governments that have sovereignty and/or power
over you If you live in Cape Girardeau, Missouri:
&
United States Govt
&
Missouri State Govt
Cape Girardeau County
Govt
&
• City of Cape Girardeau
• Cape Girardeau Public School District
• Levee District
• Water and Sewer District
• Fire District
• PLUS OTHERS
Federalism & Democracy
Federalism strengthens America’s democratic ideals by:
1. Allowing many levels for issues to be addressed.
2. Allowing many levels for individuals to be involved the
political process.
3. Allowing many level for varying opinions and values to
be expressed, and represented. (In elected bodies)
Paradoxically, Federalism has also been a large part of
why we continued to have racial discrimination well
into the 1970s.
What do you do when the local opinions and values
Support discrimination?
i.e. – voting laws, Jim Crow laws,…….
State & National Governments
The State and National (federal) governments are the
two major levels of government that we will focus on this
semester.
Why not include local governments in our study:
Dillion’s Rule states that local governments are the creation
of states, and that state legislatures can create, alter or abolish them
at their discretion.
Federalism in the United States
In the United States there are actually
51 different major governments.
One Federal Government
&
Fifty State Governments
Each of one us, regardless of where we live are
represented by elected officials, at both the
Federal and State Level.
SIMULTANEOUSLY
How People Are Represented in a
Federal Form of Government
Since each level of government (federal & state) is
sovereign each has its own rules and regulations (laws)
and each has individuals that are elected to create
and manage those laws.
&
You have individuals elected at each level to
represent you, at that level of government.
The Elected Officials Assignment is designed to ensure
you are aware of the organizations (state and national legislatures)
in which you have people that represent you at each
level of government, and who those people are.
National Representation
Each American citizen has people elected/appointed to represent them in the
national government, These people represent their constituents in Washington,
D.C.
President
(Executive Branch)
Legislative branch
U.S. Senate (2 from each state)
U.S. House of Representatives (9 from Missouri)
Judicial Branch
U.S. Supreme Court
•They represent their constituents on Federal Issues.
• They Do not have the authority to tell states what to do on state and local
issues.
State Representation
Each state citizen has people elected/appointed to represent them in the state
Government. These people represent their constituents in their state capital (Jeff City).
Executive Branch
Governor
Legislative Branch
A State Senate
&
A State House of Representatives
All states, except Nebraska, have bi-cameral legislature
Judicial Branch
State Supreme Court
•They represent their constituents on state issues.
•They do not have the authority to tell the federal government what to do on
federal issues, even if they take place within their state.
Shared Power
Federalism is based on the concept of SHARED POWER.
Anytime you share ANYTHING there must be rules and definitions
that outline how the item will be shared.
i.e. shared custody of a child
Our political system has rules that define how power will be shared
between the various levels of government.
WHERE DO WE FIND THOSE RULES?
U.S. Constitution
Supreme Court Decisions
Have been needed to clarify some issues.
U.S. Constitution and Federalism
Article VI, Paragraph 2 of the United States Constitution is
known as the Supremacy Clause:
"This Constitution, and the laws of the United States which shall be made in Pursuance
thereof; and all Treaties made, or which shall be made, under the authority of the United
States, shall be Supreme Law of the land; and the Judges in every state shall be bound
thereby, any thing in the Constitution or Laws of any state to the
contrary notwithstanding.“
In short it states that:
The U.S. Constitution will the SUPREME LAW of the land
&
Federal Laws will take precedence over State Laws
Supremacy Clause
This does not mean that the Federal government
is always supreme.
The Federal government is only supreme on issues
that the Federal government has authority or
when the State and Federal governments share power.
If the Federal government does not have the power to regulate
an issue, then the state will be supreme.
In short:
When a State and Federal law conflict with each other
The Federal law will be supreme.
U.S. Constitution and Federalism
(CONTINUED)
Article I, Section 8, Clause 3 of the U.S. Constitution is known
as the Commerce Clause:
"To regulate Commerce with foreign Nations, and among the several States,
and with the Indian Tribes."
There is no question that the Federal government has the
power to regulate INTERSTATE Commerce.
But…..
What is considered INTERSTATE COMMERECE.
It has changed over the years.
As the definition has changed the power of the Federal
government has grown.
Powers of the Federal and State
Governments
There are three basic types of powers dealt with in
relation to the U.S. Constitution:
Enumerated
Implied
Reserved
HINT!!!
YOU WILL SEE THESE AGAIN!!!
(ON THE FIRST EXAM)
TAKE GOOD NOTES ON THESE!!
Enumerated Powers
Those specific powers of the U.S. Congress listed in the
U.S. Constitution.
There are 18 specific powers of Congress listed.
They include (but are not limited to):
• Coin Money
• Declare War
• Tax
• Create and operate Post Offices
SEE THE HANDOUNT AVAILABLE ON THE COURSE WEBSITE
Implied Powers
IMPLIED:
To involve or indicate by inference, association, or
necessary consequence rather than by direct statement.
OR….
Something that is assumed to exist, even though it is not
expressly stated.
There are a number of powers that the Congress have that
are not enumerated or expressly listed.
Why then does Congress have those powers?
THE NECESSARY AND PROPER CLAUSE
The 18th power on the list of ENUMERATED POWERS
THE NECESSARY AND PROPER CLAUSE
“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”
Examples:
Why, in the 1960s, could you burn and American flag,
but not your draft card?
McCullough v. Maryland (1818)
Could the State of Maryland NULLIFY the federal law creating
A national bank?
Reserved Powers
Tenth Amendment to the U.S. Constitution
“The powers not delegated to the United States by the
Constitution, nor prohibited by it to the states, are reserved
to the states respectively, or to the people”.
Examples of Reserved Powers
1. Voting
2. Education
Three Eras of Federalism in the U.S.
The relationship between each level of government in the U.S. has
changed or evolved over the course of our history.
The Evolution of U.S. Federalism Can Be Broken Down Into
Three Eras are:
1. Dual Federalism
(Layer Cake Federalism)
2. Cooperative Federalism
(Marble Cake Federalism)
3. Fiscal Federalism
(Modern Federalism)
Dual Federalism
Both Levels of government (nation and state) are completely
sovereign within their own SPHERES of authority.
Each level’s SPHERE OF AUTHORITY was determined,
primarily by the U.S. Constitution as was discussed on
the previous slides.
Federal Sphere of Authority
From ratification of
The Constitution
Until F.D.R.
(Great Depression)
•18 Enumerated Powers
State Sphere of Authority
•10th
Amendment
VERY CLEAR
LINE BETWEEN
THE TWO
LEVELS
Cooperative Federalism
Both levels of government continue to maintain sovereignty
Over many or most issues within their
SPHERES OF AUTHORITY.
BUT…..
They begin to work together on some issues that are of
Interest to both LEVELS.
i.e. – Welfare of citizens during the Great Depression
Math and Science education after Sputnik
Begins with F.D.R. (Great Depression) and continues through World War II into present day.
Cooperative Federalism
(Continued)
No Clear
Line Between
Two Levels
Of Gov’t
Begins with F.D.R. (Great Depression) and continues through World War II into present day.
Fiscal Federalism
The STATE governments still maintain AUTHORITY over
Many of the issues that had in the past, but the POWER
over many of those issues have been transferred
to the FEDERAL government.
WHY HAS THIS TRANSFERE OF POWER TAKEN PLACE?
$$$$$$$$$$$$
It started in late 1930s, gained a lot of momentum and strength
in the 1960s and 1970s and we continue to be in
this era of federalism.
Federalism Today
Much of the relationship between the state and federal
governments today are influenced by money.
It is how the federal government “got their foot in the door”
of state issues, and it is how they keep pressure on the
states to do what they would like them to do.
Examples:
Helmet Laws
Blood Alcohol Levels
Affirmative Action
Fiscal Federalism
How Does It Work
The Federal Government passes money on to the
State and local governments through a system
Known as GRANTS IN AID.
Three Basic Types of Grants in Aid:
1. Categorical Grants
2. Block Grants
3. Revenue Sharing
Categorical Grants
Used to address specific issues.
Group Receiving the funds are limited on what they can
use the funds for.
Allows the federal government more control over how the
Funds are used.
Preferred method of grant in aid of the federal
government. About 90% of all federal grants dollars.
Example:
• AFDC in 1960s thru 1980s.
• Aid To Families With Dependent Children
• Program designed to help address poverty.
• Federal government gave funds to state, but they had
to be administered in very specific manner.
Block Grants
Used to address general topic area.
Group receiving funds are given much more flexibility in
how they spend the funds.
Federal government has given less control.
Preferred method of grants for those conservatives
favoring DEVOLUTION of more control back to the states.
Examples:
CSBG, CDBG, TANF, …….
Revenue Sharing
Federal Government simply gives (shares) a certain
percentage of the tax Revenue it gathers with each of
the states.
This was the least restrictive of the grants in aid. The
money could be used For whatever the state wanted to
use.
It was a method created by conservative lawmakers
(primarily Pres. Ford) in An attempt to DEVOLVE more
power back to the states.
No longer used. Block Grants are the method now used
to DEVOLVE more Power back to the states.
Unfunded Mandates
What are they?
Rules and regulations created by the federal government
Calling for state or local governments to do something,
Without providing the funds to carry it out.
i.e. – A.D.A.
Why do the states stand for them?
Fear that not doing this will cause them to lose money for
This program, or worse yet, other programs as well.
EXAMPLE OF THE DIFFERENCE BETWEEN POWER AND AUTHORITY