Edwards, Wattenberg, and Lineberry
Government in America: People, Politics, and
Policy
Fourteenth Edition
New Orleans, August 2005
New York, September 2001
Chapter 3
Federalism Defined
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Federalism is a way of organizing a nation so
that two or more levels of government have
formal authority over the same area and people.
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11 of 190 nations have federalist systems…most have
unitary.
The workings of the American system are sometimes
called “intergovernmental relations” which refers to
interactions among national, state, and local
governments.
Why does federalism matter?
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It affects taxes, speed limits, laws regarding alcohol,
education, health insurance, crime and punishment, and,
more recently, abortion and gay rights debate.
Defining Federalism
 Why is Federalism So Important?
 Decentralizes our politics
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More opportunities to participate
 Decentralizes our policies
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Which government should take care of which problem?
States can solve the same problem in different ways.
Federalism Defined
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The word “federalism” is not mentioned in the
Constitution but the writers of the Constitution carefully
defined the powers of the state and national
governments.
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Supremacy Clause- Article VI of the Constitution states
that the supreme law of the land is the Constitution, the
laws of the national government, and treaties.
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It was clearly meant to be a device that protected personal
liberties (through separation of powers)
The U.S. Constitution
Laws of Congress
Treaties
Judges in every state are bound by the Constitution.
Federalism, Unitary Governments, and
Confederations
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Unitary governments: a way of organizing a nation
so that all power resides in the central government.
“local governments exist to serve the federal
government.”
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The relationship of state and local governments can
be described as unitary.
Confederation: The United Nations is a modern
example.
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Historical Example: Articles of Confederation
Enumerated Powers- powers of Congress found in Article I, Section 8 of the
Constitution
The Constitutional Basis of
Federalism
 States’ Obligations to Each Other
 Full Faith and Credit – recognize documents and civil
judgments of other states
 Extradition
 Privileges and Immunities
Key Terminology
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Reserved Powers
Concurrent powers- powers shared by Federal and state governments.
Commerce powers
Selective Incorporation- state governments can overturn state and local
practices.
Necessary and Proper Clause
Implied powers
Intergovernmental Relations
full, faith and credit clause
Privileges and immunities
Extradition
Supremacy Clause
Tenth Amendment
Establishing National Supremacy.
The Growth of Federal Power
McCullough v. Maryland
1.
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First brought the issue of state vs. national power before the
Supreme Court
The Supreme Court ruled that the national policies take
precedence over state policies:
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Chief Justice John Marshall wrote that, “the government of the
United States, though limited in its power, is supreme within its
sphere of action.”
The court also gave “sweeping approval” to the concept of
implied powers. This concept is based on the “necessary and
proper” clause of the Constitution (“make all laws necessary and
proper for carrying into execution the foregoing powers”) that go
beyond the enumerated powers specifically listed in Article I,
Section 8.
2 Questions Resolved: Congress could establish a national bank
and the states had no right to tax it (“the power to tax involves
the power to destroy”…i.e. authority comes from constitution,
not the states)
Establishing National Supremacy.
The Growth of Federal Power
2. Gibbons v. Ogden
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defined commerce broadly to encompass virtually
every form of commercial activity. The Supreme
Court, more recently, has looked at the commerce
power skeptically.
Establishing National Supremacy.
The Growth of Federal Power
3. Civil War
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settled military the issue that McCullough had
constitutionally.
The basic issue resolved was that the national
government was supreme, its sovereignty derived
directly from the people, and thus the states could
not lawfully secede from the Union.
Nullification
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Advocated by Jefferson, Madison, and Calhoun.
Establishing National Supremacy.
The Growth of Federal Power
4. Civil Rights Movement
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A century after the Civil War, the policy issue became
equality.
The conflict between state and the national
government over equality issues was decided in favor
of the national government: throughout the 1960’s,
the federal government enacted laws and policies to
end segregation in the schools, housing, public
accommodations, voting, and jobs.
From Dual and Cooperative Federalism
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Dual Federalism- a form of federalism in which
states and the national government each remain
supreme within their own spheres.
From Dual and Cooperative Federalism
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Cooperative Federalism: a form of federalism
with mingled responsibilities and blurred
distinctions between the levels of government.
The American federal system has leaned towards
dual federalism before the national government
began to assert its dominance.
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Issue: Commerce Powers.
Interstate vs. Intrastate
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Examples: Alcohol and Insurance
By the 1940’s, the courts began to permit the Federal
government to regulate almost anything related to
commerce.
From Dual and Cooperative Federalism
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A new trend: Transferring responsibilities for policies
from the federal government to state and local
governments. This is called devolution
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Historical Basis: existence of states guaranteed by the
Constitution
Beginning with Ronald Reagan in 1981, Republicans aimed
restrict the scope of the national government and return
responsibility for policies to the states after gaining Congress in
1994.
Since the 1990’s, however, Republicans have adopted a more
pragmatic approach to federalism and have been more willing to
use the federal government.
Ultimately, empowering states has not meant disempowering
Congress. The Courts have allowed the federal law to do almost
anything it wishes as long as it does not go too far in
“commandeering” state resources or states’ rights.
Fiscal
Federalism
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Defined: the pattern of
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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 paper calls the
tune”
Fiscal Federalism
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Grants-in-aid are
the main
instruments the
national government
uses for both aiding
and influencing
states and localities.
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Began during the
1930’s.
The real shift towards
more federal power
began in the 1960’s.
Fiscal Federalism- Key Terminology
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Block Grants-also known as “revenue sharing”
Categorical grants
Devolution
Formula grants
Project grants
Mandates
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The majority of unfunded mandates has been about environmental
policy and civil rights.
General Rule: When Washington spends less on something and still
wants it done, they squeeze the states to spend more for that purpose.
Cross-over sanctions
Cross-cutting requirements
Pre-emption
Universalism
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Issues: 9/11,
Acts of the Government Involving
Federalism Related Disputes
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.
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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.
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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.
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Issue (s)
Acts of the Government Involving
Federalism Related Disputes
4.
Welfare Reform Act of 1996- required work in
exchange for temporary relief; no more than two
years could be used before parents would be
working or in job training. No recipient could have
more than five years of assistance cumulatively
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Ultimately, gave states money and gave them freedom
to enforce the law.
Issue (s):
Acts of the Government Involving
Federalism Related Disputes
5.
Gun Free Schools Act of 1990- forbids the possession of firearms in
public schools
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6.
Brady Handgun Violence Prevention Act- mandated that the chief
law enforcement officers in each local community conduct
background checks on gun purchasers.
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7.
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):
Acts of the Government Involving
Federalism Related Disputes
NCLB- Largest expansion of federal
government’s role in education since LBJ.
8.
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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.
9.
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Issue (s):
Acts of the Government Involving
Federalism Related Disputes
10. Hurricane Katrina- best recent illustration of complex
relationship between federal and state governments.
11. 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.
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Issue (s):
Other issues:
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Child labor laws, minimum-wage legislation, unemployment
compensation, antipollution legislation, civil rights protections,
income tax, welfare reform, and health care.
Positive Implications of the Federalist
System
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.
Negative Implications of the Federalist
System
1.
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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.
Other Implications
1.
Growth of judicial power