►How
big is it
►What
Government
is it (fed-state-local etc.)
►What does it do
►How does it do it
►Define
Important Terms / Concepts / Topics
federalism
►Federal, confederate, unitary
►U.S. Constitution – national supremacy, privileges and Immunities, Full Faith
and Credit
►Primary state policy areas
►Delegated, concurrent, reserved powers
►Recent Federalism changes including: Great Society, Devolution, LBJ, Reagan
► Fiscal federalism: block and categorical grants
► Meaning of marble cake versus layer cake federalism
► Define: Preemption, Mandates, Picket fence federalism, Interstate compacts
►Federalism –
►there is not “a” government.
Federalism:
National and State Governments
► Federalism – what is it
► Why – reasons for it
► Evolution and Fiscal Federalism
► Federalism and Management
►Federalism:
 a legal division of authority between the
federal government and state governments.
National – State (Regional) Relationships
► Unitary
► Federal
► Confederate
Unitary
SOME Unitary Governments
Confederation
Confederate Governments
Federal
SOME Federal Governments
► Founders
Faced
Why Federalism?
 Little national identity – state/colony focus
 Little national travel or communication
 Fear of far-away power
►First
choice was a confederacy
 Provided another control on power of new national government
over and above separation of powers / checks & balances
►The Constitution may have never been ratified if the Framers had
pushed for a unitary system.
Federalism was a compromise, allowing the states to maintain their
independence.
“Look, the American people don’t want to be bossed around by
federal bureaucrats. They want to be bossed around by state
bureaucrats”
The European Union
►
Council of the EU
►
European Parliament
►
The Commission
►
The Court of Justice
►
The “Euro”
Federalism – What is it?
Federalism is Federal-State ONLY
► National
Supremacy Clause, Article 6, Clause 2:
► The
laws of the United States which shall be made in pursuance (of
powers delegated to federal government), and all treaties made . .
. . under the authority of the United States, shall be the 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.
►Privileges
State to State
and Immunities, Article 4, Section
2, Clause 1:
► “The
Citizens of each State shall be entitled to all Privileges
and Immunities of Citizens in the several States.”
►Full
►“
State to State
Faith and Credit, Article 4, Section 1:
Full Faith and Credit shall be given in each State to the
public Acts, Records, and judicial Proceedings of every
other State.” And the Congress may by general Laws
prescribe the Manner in which such Acts, Records and
Proceedings shall be proved, and the Effect thereof.
Primary State Powers
► Exist, but are not
► Amendment #10
spelled out anywhere
 “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.”
► Some
claim this is a meaningless truism:
 States have whatever power the federal government does not
take
► Protection of state power is partially
► But more importantly political
constitutional
 The U.S. Senate represents the states
 House members are selected by state
Primary State Policy Areas
Liberal to Conservative by State
State Laws on Concealed Handguns
Executions by state: 1976-2005
Different Policies--Education
State grades on Abortion Accessibility from NOW (Social
Conservatives Reverse: F = A)
Evolution of Federalism
► State-centered, @ 1789-1865
► Dual, @ 1865-1913
► Cooperative, @ 1913-1964
► Centralized, @ 1964-1980
► Devolution or New Federalism,
@1980-?
Changes to federalism stem from
Federalism – Original Design
► Governing
powers divided into
 Delegated
 Concurrent
 Reserved
Delegated, Concurrent, Reserved
The Original Design of Federalism
The Original Design of Federalism
State centered @ 1789-1865
Almost all important decisions made at state level
Power of national government unclear
Chief Justice John Marshall, 1801–1835
► Marbury v. Madison, 1803
► McCulloch v. Maryland, 1818
–used Constitution’s necessary
and proper clause
► His opinions helped to weaken states’ rights.
McCulloch v. Maryland (1819)
“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.”
“The power to tax involves the power to destroy…If the right of the States to tax the means
employed by the general government be conceded, the declaration that the Constitution, and the
laws made in pursuance thereof, shall be the supreme law of the land, is empty and unmeaning
declamation.”
Evolution of Federalism
► Doctrine
of Nullification
► Doctrine
of Secession
 Each state could declare any laws or actions of the national
government “null and void.”
 States could choose to withdraw from the United States if they
wanted.
 Used by the Confederate States in the Civil War.
Dual Federalism , @ 1865-1913
Evolution of Federalism
“Dual Federalism”
1868 to 1913
In this phase, the national government narrowly
interpreted its delegated powers and the states
continued to decide most domestic policy issues.
► Cooperative,
@ 1913-1964
 Federal government adopts an income tax, 1913, amendment
#16
 Direct election of us Senators, 1913, amendment # 17
►Senators
now represented people, not state governments
 Industrial revolution created a national economy vs. prior
regional economies
 WWI, WWII, Cold War all focused attention on national
government
 National programs due to Great Depression
Cooperative – Cont.
► With
fed’s resources from income tax was able to assist
states suffering from the depression
► Grants-in-aid
 Grants from one level of government to another
 At this time mostly block grants
►Block = given for very broad
►E.g. education in general
purposes
►States
could decide how to spend as long as somehow related to
education
Centralized Federalism, @ 1964-1980
►Lyndon Baines Johnson
► and The Great Society
Centralized Federalism, @ 1964-1980
► LBJ and Great Society
► Fed govt. used grants
for its own policy goals
 Poverty, pollution, education, urban renewal, consumer safety
► Why?





Centralized Federalism – 2
State malapportionment
Some state senates represented counties
Some lower house districts not redrawn for 50+ years
Vast growth in cities and suburbs since the end of WWII
But state legislatures controlled by rural counties
Centralized Federalism – 3
Though urban and suburban voters had little impact on state
government
Their votes were important to U.S. Representatives,
Senators and Presidential candidates
So Federal elected officials wanted to meet constituent
needs states were ignoring.
► Partly
Centralized Federalism – 4
came from Constitution’s grant to the federal
government the ability to regulate interstate commerce
 Economy is now national rather than local
The presidency of Lyndon B. Johnson (1963–1969)
►Johnson’s “Great Society”
 War on Poverty
►Federal funds were directed to states, local government,
and a wide variety of social programs.
► The
Fiscal Federalism
Fiscal Federalism
transfer of funds from one level of government to
another
► Federal to state and local is most important, but can also
be state to local and local to local
► An
important source of revenue for state and local
governments.
► Federal grants to states come in the form of categorical
grants and block grants.
Federal grants to state and local governments
Percent of State and Local funds from federal
grants
► Grants-in-aid
deal with inequities and inefficiencies in the
allocation of resources.
 They can be used to prompt jurisdictions to deal with problems
such as pollution that they might not otherwise address on their
own.
► They
also foster experimentation and serve as incentives
to provide more efficient and effective ways to deliver
services and address problems.
Purposes of Federal Grants to State and Local
Governments
Devolution / New Federalism, 1980 -- Present
► States
changed dramatically after 1960s
► States
complained about categorical grants tying their
 Supreme Court reapportionment decisions
 Strengthened governorships
 More professionalized legislatures in some states
hands
► Presidents
from Carter to G.W. Bush (excepting Bush #1),
were former governors.
► Federal
Devolution -- 2
government returned responsibility for some
programs to the states
 E.g., Eliminate AFDC, have states create “workfair” requirements
► Sometimes
with federal funding assistance, but state
management
 E.g., Medicaid, fed sets basics, many states add features on top
► Ronald
Reagan sought to return more power and responsibility to
the states
► “Government
is not the solution; it’s the problem”
-Ronald Reagan
Supreme Court and Federalism
► Beginning
in 1995, justices interested in granting more
deference to state authority gained a slim five-to-four
majority in the Supreme Court.
►United
States v. Lopez (1995)
v. United States (1997)
►United States v. Morrison (2000)
►Printz
But . . . . . Federalism issues are often
political issues
How Congress Set a
National Drinking Age
The minimum drinking age became a national issue as a result of
emotional appeals by groups such as Mothers Against Drunk Driving
Proposing Constitutional Amendment on
Marriage
Management
9/11: President Bush and with New York City
Police and Fire workers.
1963: Eisenhower orders federal troops to desegregate
Mississippi schools. Governor George Wallace bars the door.
Katrina and New Orleans
Louisiana Governor Blanco, FEMA Director Michael
Brown
And where was Mayor Ray Nagin in these
negotiations?
Preemption
Preemption Types
MANDATES
Unfunded Mandates
Mandates
► Age Discrimination Act, 1986
► Asbestos Hazard Emergency Act, 1986
► Safe Drinking Water Act, 1986
► Clean Air Act, 1990
► Americans with Disabilities Act, 1990
► No Child Left Behind, 1993
Picket Fence Federalism
Percent of Federally Owned Land-West
Percent of Federally Owned Land-East
Native American Peoples:
Reservations in the United States
Relations with Indian Nations
Interstate Compact
Colorado River Compact
Important Terms / Concepts / Topics
►
►
►
►
Define federalism
Federal, confederate, unitary
U.S. Constitution – national supremacy, privileges and Immunities, Full Faith
and Credit
Primary state policy areas
►
►
►
►
►
Delegated, concurrent, reserved powers
Recent Federalism changes including: Great Society, Devolution, LBJ, Reagan
Fiscal federalism: block and categorical grants
Meaning of marble cake versus layer cake federalism
Define: Preemption, Mandates, Picket fence federalism, Interstate compacts
The constitutional provision which prohibits states
from discriminating against citizens of other states is
known as:
►A
►B
►C
►D
►E
intergovernmental powers.
the elastic clause.
full faith and credit.
privileges and immunities.
extradition.
►T h e
TRUE OR FALSE?
supremacy clause of the Constitution mandates
that state laws supersede national laws.
►Concurrent
TRUE OR FALSE?
powers are those exercised by both the
states and national government.
Which constitutional clause states that each state
must recognize the legal actions – such as marriages
and drivers licenses – of other states?
► A.
►B
► C.
► D.
► E.
The necessary and proper clause
The national supremacy clause
The full faith and credit clause
The privileges and immunities clause
The interstate commerce clause
TRUE OR FALSE?
►Federal
grants to the states to be used for general
rather than specific activities are called block grants.
►Ronald
TRUE OR FALSE?
Reagan primary emphasis as president was
to increase the importance of the national
government at the expense of decreasing the
importance of the states.
► It
TRUE OR FALSE?
is the national government, not the states, that is
in charge of marriage and divorce laws.
Which level of government spends the most on elementary
and secondary education?
► a. State government
► b. The federal government
► c. Local government
► d. Federal agencies
► Marble
cake federalism views the actions of the federal,
state, and local governments as clearly distinct.
► Federal
moneys given to a state as a block grant will most
likely be used to pursue state goals rather than federal
goals.
► Devolution
is the transfer of power or authority from state
governments to the federal government
The distribution of funds from the national government to
state and local governments is referred to as
►
a. dual federalism.
►
b. direct federalism.
c. cooperative federalism.
d. fiscal federalism
A _________________ is a regulation, imposed by one
government on another, that requires the receiving
government to implement certain goals and/or meet certain
standards.
a.
crosscutting requirement
b.
mandate
c.
partial preemption
d.
severance tax
Lyndon Johnson's antipoverty initiatives in the areas of
housing, job training, medical assistance, etc., were in the
form of
► A block grants.
► B land grants
► C tax breaks for the states
► D categorical grants.
► E Unfunded mandates
►
►
►A
►B
►C
►D

Devolution is:
the return of governmental responsibilities to
state and local governments.
a federal regulation that appropriates funds to
state and local governments.
the return of governmental responsibilities to
the federal government.
a federal regulation that imposes burdens on
state and local governments without
appropriating enough money to cover costs.
What is a federal structure? How does it differ
from confederate and unitary ones?
What are some of the stages of federalism?
What is meant by inter-governmental grants? What is
the difference between a block and a categorical grant?
What are the National Supremacy, Privileges and
Immunities, and Full Faith and Credit Clauses?
What is New Federalism (or devolution) and with
what president is it most closely associated?
National Supremacy, Privileges and Immunities, Full
Faith and Credit
Marble Cake vs. Layer Cake Federalism

Delegated, Concurrent, and Reserved Government
Powers
Federal vs. Confederate vs. Unitary
Fiscal Federalism, Block vs. Categorical Grants
LBJ, Reagan, Great Society, Devolution

State vs. Federal vs. Local policy areas
Preemption and Mandates