Chapter Three
FEDERALISM
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Learning Outcomes
2
1. Define federalism and contrast the federal
system of government with the unitary and
confederal systems in explaining where
governmental power lies.
2. Identify two advantages and two disadvantages
of the U.S. federal system.
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Learning Outcomes
3
3. Locate the sources of federalism in the U.S.
Constitution; using the terms “vertical control”
and “horizontal control,” explain how the
founders intended federalism and separation of
powers to limit the expansion of national power
4. Explain the historical evolution of federalism as a
result of the Marshall Court, the Civil War, the
New Deal, civil rights, and federal grant-making.
5. Evaluate immigration policy as a challenge to
modern federalism.
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Three Systems of Government
4
 Unitary system
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Central government gives power to subnational
governments
Local governments typically have only powers
granted by central government, rather than any
reserved powers
Majority of countries today
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Three Systems of Government
5
 Confederal system

Power retained by local/regional governments
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League of independent states
Central government cannot make laws unless
members support these
Examples:
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Switzerland
United States (under Articles of Confederation)
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Three Systems of Government
6
 Federal system
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Divides power between national and lower level
governments
Written constitution
Each government has distinct powers that other
governments cannot override
Examples:

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Australia, Brazil, Canada, Germany, India, Mexico
United States
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The Flow of Power in
Three Systems 7of Government
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Governmental Units in the United States
8
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Why Federalism?
9
 A practical constitutional solution
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Framers wanted to combine strong central
government with state traditions and local power
Large geographical size of country
Brings government closer to the people
Benefit: state governments as testing grounds
Allows for many political subcultures
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Why Federalism?
10
 Arguments against federalism
 Way for powerful states to block plans
 Inequalities across states
 Some see expansion of national powers as
danger
 Limited rights for minority groups

James Madison, Federalist Paper No. 10
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The Constitutional Basis for
American Federalism
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 Federal system
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Authority divided
Written constitution
Central government + constituent governments
 Constitution specifies three types of power
Powers of national government
2. Powers of the states
3. Prohibited powers
1.
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The Constitutional Basis for
American Federalism
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 Powers of the national government
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Enumerated Powers
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Most enumerated powers are found in Article 1 Section
8 & are specifically granted by Constitution

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Coining money, standardized weights and measures, admitting
new states, postal services, declaring war
Power to regulate commerce
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The Constitutional Basis for
American Federalism
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
Implied Powers
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Necessary and Proper Clause / Elastic Clause
Inherent Powers (all sovereign nations)

Each nation have an inherent right to ensure their own
survival
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The Constitutional Basis for
American Federalism
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 Powers of the state governments

Tenth Amendment (AMBIGUOUS)
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Reserved powers that national government cannot
deny states.
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Regulate commerce within borders, state militia, laws governing
crime, marriage, contracts, education
Police power: the authority to legislate for the
protection of the health, morals, safety, and welfare of
the people.
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The Constitutional Basis for
American Federalism
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 Concurrent powers
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Not specified in Constitution
Taxation
Borrow funds
Establish courts
Charter banks and corporations
Police power (to a degree)
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The Constitutional Basis for
American Federalism
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 Prohibited powers
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Any power not granted expressly or implicitly by
Constitution is prohibited to federal government
States also denied certain powers
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The Constitutional Basis for
American Federalism
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 Supremacy Clause (Article VI, Clause 2)
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National government actions are supreme
Conflicts between national and state government
will be resolved in favor of national government
McCulloch v. Maryland
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The Constitutional Basis for
American Federalism
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 Vertical checks and balances
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Goal to prevent national government from
becoming too powerful
Each branch checks others
Vertical checks are between state and national
government
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The Constitutional Basis for
American Federalism
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 Interstate Relations
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Article IV attempts to resolve potential problems
between states
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Full faith and credit clause—states must honor actions
of other states
Privileges and immunities
Interstate extradition
Interstate compacts
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Defining Constitutional Powers–
The Early Years
20
 McCulloch v. Maryland (1819)
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Marshall: “[W]e must never forget it is a
constitution we are expounding.”
Implied powers and national supremacy
 Gibbons v. Ogden (1824)
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Commerce clause
Commerce power of national government could
be exercised in state jurisdictions
Regulating commerce is a national power
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States’ Rights and the Resort to Civil War
21
 The shift back to states’ rights
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Jacksonian era (1829-1837)
Regulation of commerce major issue
Tariffs generally benefitted northern industries
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South Carolina withdraws from Union (1860)
Six states form Confederate States of America (1861)
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President Lincoln Meets With
Generals and Troops
22
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States’ Rights and the Resort to Civil War
23
 War and the growth of the national
government
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The war effort (billion dollar budget, income tax)
Civil War Amendments expand national
government authority
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13th: Abolishment of slavery
14th: Defined who was a U.S. citizen
15th: Attempted to provide rights to freed slaves,
including right to vote
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Voting for the First Time
24
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The Continuing Dispute Over
the Division of Power
25
 Dual federalism and the retreat of national
authority
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“Layer cake” federalism
A return to normal conditions (for some)
Role of the Supreme Court

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Defends state’s rights
Limits national government power
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The Continuing Dispute Over
the Division of Power
26
 The New Deal and
cooperative federalism
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End of dual federalism
Expanded role for
national government
Cooperation between
national government and
states
“Marble cake” federalism
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The Continuing Dispute Over
the Division of Power
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 Methods of implementing cooperative
federalism
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Categorical grants
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Formula grants
Program grants
Block grants
Federal mandates
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The Politics of Federalism
28
 Federal system not always most effective
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Hurricane Katrina
 What has national authority accomplished?
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Economic relief
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New Deal and Social Security
Civil rights and war on poverty
Child labor laws
 Why should states favor the status quo?
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The Politics of Federalism
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 Federalism becomes a partisan issue
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The New Federalism:
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Republicans and devolution
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Conversion of categorical grants to block grants
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Revenue sharing
Federalism in 21st Century
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Important to conservative ideology

But some liberal policy innovations at state level
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Federalism and the Supreme Court Today
30
 Reigning in the commerce power
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United States v. Lopez
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United States v. Morrison
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Affordable Healthcare Act
 State sovereignty and the Eleventh Amendment
 Tenth Amendment issues

New York v. United States

Printz v. United States
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Federalism and the Supreme Court Today
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 Other federalism cases
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Mixed messages by Supreme Court on medical
marijuana and death with dignity laws
Immigration policy: state or federal issue?
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Status of Arizona-inspired Legislation
Passed in 2011
32
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State’s Rights
33
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