CHAPTER 3: LEARNING
OBJECTIVES
 What Is Federalism?
 Define federalism and assess the nature of
sovereignty in a federal system
 Compare federalism to other systems of
government, including confederations and
unitary systems of government
 Understand how the Constitution
differentiates between federal government
powers, state government powers, and
concurrent powers
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CHAPTER 3: LEARNING OBJECTIVES
 What Is Federalism?
 Recognize the powers accorded to
Congress under Article I, including the
necessary and proper clause
 Explain the significance of the supremacy
clause, the preemption doctrine, and the full
faith and credit clause of Article IV in dividing
sovereignty between the federal and state
governments
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CHAPTER 3: LEARNING OBJECTIVES
 The History of American Federalism
 Define the five eras of American federalism
 Assess the role played by the Supreme
Court in articulating the various doctrines
and frameworks that determined the
relationship between the state and federal
governments during the five eras of
American federalism
 Distinguish between different forms of
federalism (layer cake federalism versus
marble cake federalism) in the modern era
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CHAPTER 3: LEARNING OBJECTIVES
 Why Federalism? Advantages and
Disadvantages
 Recognize the advantages of a system that
serves a diverse array of interests
 Understand the disadvantages of federalism
in terms of fairness and accountability
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CHAPTER 3: LEARNING OBJECTIVES
 Current Problems in American
Federalism
 Describe some of the abuses under
federalism, including the use of unfunded
mandates and the underfunding of urban
centers
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MAY/STRINGER/GETTY IMAGES
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Learning
LEWIS WICKES BETTMANN/CORBIS
DUELING SOVEREIGN POWERS IN
THE UNITED STATES: NOW & THEN
 At the nation’s founding, many were
worried about creating an excessively
powerful central government
 Many viewed this as threatening the
states’ sovereignty, and nearly brought
a halt to the American experiment
before it began
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Learning
NOW… THE RIGHT TO DIE
 After 15 years in a persistent vegetative
state, Terri Schiavo’s husband and legal
guardian, Michael, petitioned a court to
remove her feeding tube
 Terri’s parents disagreed and sought a
series of stays against removal of any
apparatus necessary to keep their
daughter alive
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Learning
NOW… THE RIGHT TO DIE
 Family law is traditionally controlled by state
authorities, and a Florida court ordered the
tube be removed
 Florida’s appellate courts upheld the order
 Congress tried to intervene to no avail
 Federal courts also ruled this was a state
matter not a federal matter
 Terri died 13 days after the tube was removed
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THEN… CHILD LABOR
 In the early 20th century, millions of
children, as young as 5 or 6, worked
long hours in brutal conditions for barely
any compensation
 State legislatures began passing laws
limiting or banning the use of child labor
 This patchwork quilt of regulations
varied significantly in their effectiveness
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THEN… CHILD LABOR
 Despite numerous judicial rulings that
states alone had the constitutional
power to regulate manufacturing
 In 1916 Congress passed the KeatingOwen Child Labor Act:
 Banned interstate transport of goods
made by children under 14 years-of-age
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THEN… CHILD LABOR
 The Supreme Court ruled the Keating
Act was unconstitutional
 However, nearly 20 years later, spurred
in part by the Great Depression
 The Court ruled Congress did have the
power to enact legislation restricting
child labor
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OTHER EXAMPLES OF FEDERAL/STATE
CONFLICTS
 Arizona state officials’ opposition to a
federal Martin Luther King Jr. holiday
 Movement by Georgians to hoist a state
flag with the confederate symbol
 Florida state officials’ efforts to hinder
federal attempts to return Elian
Gonzalez to his father’s custody in Cuba
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WHAT IS FEDERALISM?
 A central government tier and at least
one major governmental subnational tier
 Each tier is assigned its own significant
government powers
 This division of powers is sustained by
whatever means possible, including
court determinations defining the proper
bounds of authority
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SOVEREIGNTY
 Supreme political power of a
government to regulate its affairs
without outside interference
 Sovereignty in federalism resides in the
central government, and also within
each of the subunits
 The individual fifty states in the United
States
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Learning
COMPARING FEDERALISM TO OTHER
SYSTEMS OF GOVERNMENT
 Confederation (“confederacy”):
 A league of two or more independent
states that unite to achieve certain
specified common aims
 Unitary system:
 Sovereignty rests in the central
government alone
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Figure 3.1 Comparing Systems of
Government
The three figures below illustrate the most
common configurations for (1) federal
systems of government, (2) unitary systems
of government, and (3) confederate systems
of government. The directions of the arrows
indicate the relationship that exists between
the different forms of government. Note the
two-way arrows found in the federal system.
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Learning
GOVERNMENT POWERS IN A FEDERAL
SYSTEM
 Enumerated powers: powers
delegated to Congress under Article I of
the Constitution
 Reserved powers: powers retained by
the states
 Concurrent powers: powers shared by
the federal and state governments
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THE SUPREMACY CLAUSE
 Article VI: the Constitution and the laws
passed by Congress shall be “the
supreme law of the land”
 Overrides any conflicting provisions in
state constitutions or state laws
 Each state must also abide by
Constitutional interpretations of the U.S.
Supreme Court
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Learning
THE DOCTRINE OF PREEMPTION
 When Congress exercises power
granted to it under Article I, federal laws
may supersede state laws, “preempting”
state authority
 Example: federal regulation of
commercial advertising of tobacco
products preempted all state rules
governing tobacco advertising
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YOUR PERSPECTIVE…ON AMERICAN
GOVERNMENT
 The Real-life Benefits of Attending
College Close to Home
 State legislatures try to attract in-state
students with lower cost, in-state tuition
 Students often stay, secure jobs, and
contribute to the state’s economy
 Should this type of discrimination and/or
favoritism be allowed?
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RELATIONS BETWEEN THE STATES
 Full faith and credit clause, Article IV,
Section 1: Each state must abide by
the decisions of other state and local
governments, including their judicial
proceedings
 Assures stability in commercial and
personal relations beyond one state’s
borders
 Same-sex marriage?
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Gay marriage
ceremony in
Massachusetts
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Learning
AP PHOTO/ELISE AMENDOLA
RELATIONS BETWEEN THE STATES
 Privileges and immunities clause,
Article IV:
 Protects the rights of citizens to travel
through other states, to reside in any
state, and to participate in trade,
agriculture, and professional pursuits in
any state
 Extradition: criminals escaping to
another state must be returned
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RELATIONS BETWEEN THE STATES
 Article III, Section 2: gives the U.S.
Supreme Court the authority to decide
disputes between states
 Example: New York and New Jersey
both claimed sovereign authority over
Ellis Island
 The Supreme Court ruled it is within the
state boundaries of New Jersey
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AP PHOTO/MARTY LEDERHANDLER
Ellis Island
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THE HISTORY OF AMERICAN
FEDERALISM
 Presidents, Supreme Court justices,
and members of Congress have played
a role in shaping federalism
 Flexibility has allowed federalism to
adapt to changing circumstances
 Scholars have identified at least five
eras of American federalism—each
period is defined by shifts in power
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ERAS OF AMERICAN FEDERALISM
 State-centered federalism:
1789 –1819
 National supremacy period:
1819 –1837
 Dual federalism: 1837 – 1937
 Cooperative federalism: 1937 – 1990
 The “new federalism:” 1990 – present
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STATE-CENTERED FEDERALISM
1789 –1819
 Each state managed its own affairs,
often with little interference from the
federal government
 State governments exercised a nearly
exclusive role in the administration of
education, family and criminal law, civil
and property rights, elections, and labor
relations
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NATIONAL SUPREMACY PERIOD
1819 –1837
 President John Adams’ appointment of John
Marshall as chief justice of the Supreme
Court was extremely significant
 Marshall’s national supremacy doctrine of
federalism, and broad interpretation of the
necessary and proper clause gave Congress
the power to expansively exercise their
delegated powers
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NATIONAL SUPREMACY PERIOD
1819 –1837
 Key Marshall decisions:
 McCulloch v. Maryland (1819)
 Gibbons v. Ogden (1824)
 To Marshall, the Court’s duty was not to
preserve state sovereignty, but rather
“to protect national power against state
encroachments”
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STOCK MONTAGE/GETTY IMAGES
Gibbons v. Ogden (1824)
The Supreme Court case
that held that under the
Constitution, a federal
license to operate
steamboats overrides a
state-granted monopoly of
New York water rights.
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Learning
Portrait of John Calhoun,
circa 1830
DUAL FEDERALISM
1837 – 1937
 Marshall’s successor Roger B. Taney
did not believe the federal government
was “superior” to state governments
 Viewed the Constitution as a “compact
of sovereign states,” with the powers
reserved to the states by the Tenth
Amendment limiting congressional
power
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DUAL FEDERALISM
1837 – 1937
 The Supreme Court refused to give
Congress the discretionary authority it
previously enjoyed
 Congress’ regulatory legislation, such
as the previously discussed child labor
laws, was set aside as unconstitutional
 The necessary and proper clause
became much less elastic
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Figure 3.2 Admission of States to
the Union
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Learning
COOPERATIVE FEDERALISM
1937 – 1990
 President Franklin D. Roosevelt (FDR)
and his supporters believed the
economic hardships of the Great
Depression demanded an activist
federal government
 But the conservative Supreme Court’s
opposition to aggressive New Deal
policies a stood in their way
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COOPERATIVE FEDERALISM
1937 – 1990
 FDR proposed expanding the size of the
Court to fifteen—allowing him to “pack”
it with advocates of broader federal
legislative power
 Unnecessary—because as public
frustration with the Court was mounting,
two justices abandoned dual federalist
principles in favor of FDR’s policies
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COOPERATIVE FEDERALISM
1937 – 1990
 Layer cake federalism: Authority of
state and federal governments is distinct
and more easily delineated
 Marble cake federalism: State and
federal authority are intertwined in an
inseparable mixture
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POSITIVE ASPECTS OF COOPERATIVE
FEDERALISM
 Grants-in-aid: fund state programs that
fulfill purposes expressly approved by
Congress and/or its regulatory agencies
 Block grants: may be used by state or
local governments at their discretion for
more generalized programs
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Learning
NEGATIVE ASPECTS OF COOPERATIVE
FEDERALISM
 Various conditions attached to federal
appropriations to the states
 “Protective conditions”—designed to
ensure the state administers its
program consistent with Congressional
objectives
 Example: National Minimum Drinking
Age Amendment
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THE “NEW FEDERALISM”
1990 – PRESENT
 President Ronald Reagan advocated
federal initiatives to return policy-making
authority to the states
 Devolution
 Reagan’s emphasis on deregulation and
increased state responsibilities set the
stage for more sweeping reforms in the
years ahead
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© THE NEW YORKER COLLECTION 1981 LEE LORENZ
ROMCARTOONBANK.COM. ALL RIGHTS RESERVED
1981 New Yorker
cartoon depicting
President Ronald
Reagan’s plans to
return some
federal programs
to the states.
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Learning
SUPREME COURT PRECEDENT AND THE
“NEW FEDERALISM”
1. The Court has rejected coercive
federal conditions on appropriations,
that leave the states with no discretion
to form their own policies
2. The Court has scaled back somewhat
Congress’ virtually unlimited authority
to regulate interstate commerce
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SUPREME COURT PRECEDENT AND THE
“NEW FEDERALISM”
3. The Court has scaled back the
doctrine of preemption, at least as
applied to Congressional regulation of
state governmental workers and
employees
4. The Court has given new teeth to the
Eleventh Amendment
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This
radioactive
waste plant
in New
Mexico was
built by the
state with
strong
monetary
incentives
from the
federal
government.
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Learning
JOE RAEDLE/GETTY IMAGES
AMERICAN GOVERNMENT IN
HISTORICAL PERSPECTIVE:
 When Must the Federal Government
Put State Governments in Their
Place?
 1850: Fugitive Slave Act
 1963: Gideon v. Wainwright
 2010: McDonald v. Chicago
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AP PHOTO/JOHN DURICKA, FILE
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Learning
Then-House Minority
Whip Newt Gingrich
addressing Republican
Congressional
candidates during the
1994 election
campaign. The
“Contract with
America” was credited
in part with helping the
Republicans take back
the Congress in
November 1994 and
with making Gingrich
the first Republican
Speaker of the House
in forty years.
AMERICAN GOVERNMENT  IN GLOBAL
PERSPECTIVE:
 Old Rivals Georgia and Florida Do
Battle in a Brand New Venue
 2003: proposed NAFTA extension to
countries in Central America and South
America
 The location of the proposed Free Trade
Area of America headquarters caused
controversy
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WHY FEDERALISM? ADVANTAGES
AND DISADVANTAGES
 Advantages:
 Accommodation of Diversity
 Strengthening of Liberty Through the
Division of Powers
 Madison’s prophecy
 Encouragement of Laboratories of
Democracy
 Adaptability to Changing Circumstances
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KIT KITTLE/CORBIS
Like this
Texan, many
citizens take
pride in their
home states.
FRANK CEZUS/GETTY IMAGES
An interstate highway
beset with construction.
Many states must rely
heavily on federal
construction funds to help
them maintain roads and
highways.
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Learning
WHY FEDERALISM? ADVANTAGES AND
DISADVANTAGES
 Disadvantages:
 Fiscal Disparities among the States
 Lack of Accountability
 Undue Reliance on Courts to Define the
Rules of Federalism
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CURRENT PROBLEMS IN AMERICAN
FEDERALISM
 Unfunded Mandates: federal directives
to the states requiring them to perform
regulatory tasks at their own expense
 The Growing Crisis in Big Cities:
inequities in a system that relies heavily
on each state to fund many of its own
social programs
 Needs often outstrip the city’s tax base
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A public school
in Camden,
New Jersey,
which first
opened in
1887.
AP PHOTO/LUKE PALMISANO
AP PHOTO/TIMLARSEN
A modern public
high school in the
wealthy suburb of
Hudson, Ohio.
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Learning
NOW & THEN: MAKING THE
CONNECTION
 When Congress initially attempted to
legislate against child labor it ran
squarely into a tradition of federalism
 When congressional leadership
intervened in the Terri Schiavo case it
was again rebuffed
 Where should the line be drawn
between state and federal powers?
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POLITICS INTERACTIVE!
 THE MEDICAL USE OF MARIJUANA
 The federal Marijuana Tax Act of 1937
prohibited the use of cannabis as a
prescription drug
 California and other states have recently
passed laws that allow the use of
cannabis for medical purposes
 Who wins this conflict?
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POLITICS INTERACTIVE!
 Gonzales v. Raich (2005):
 The U.S. Supreme Court ruled in favor
of the federal government
 Ruled that Congress has authority
under the commerce clause to regulate
activities such as marijuana use that
have a substantial impact on interstate
commerce
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Marijuana by
prescription
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Learning
BRUCE ELY/THE OREGONIAN/LANDOV
POLITICS INTERACTIVE!
 www.cengage.com/dautrich/american
government/2e
 Find the politics interactive link for
details on why the use of cannabis in
medical treatment remains a point of
controversy in federal-state relations
 Learn how the National Organization for
the Reform of Marijuana Laws (NORML)
is working with states and policymakers
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