Federalism
Chapter 3
Federalism Defined

Federalism - a system in which powers of
government are divided between a National
Government and several regional or local
governments.
10th
Amendment
Unitary
Confederal
Federal
Federalism:
A Historical Perspective

The Philadelphia Convention in 1787 was supposed
to fix the problems with the Articles of
Confederation
 Instead, a new Constitution was written combining
features of a confederacy (a loose union of
independent states) with a unitary system (one
strong central government)
 This federal system created two or more
governments that exercise power and authority over
the same people and the same territory
Federalism Defined

Federalism has been a contentious and
dynamic system.
 Federalism’s development has been
determined less by the nature of the original
Constitutional language (or lack thereof) ...
 than by the strength of contending interests and
by the country’s changing needs.
Defining Federalism

Why is Federalism So Important?
– Decentralizes our politics
 More opportunities to participate
– Decentralizes our policies
 Which government should take care of which
problem?
 States can solve the same problem in different ways.
The Constitutional Basis of
Federalism
Delegated Powers of the
National Government

Expressed Powers - clearly spelled out in the
Constitution and given to the Federal
Government.
 Implied Powers - reasonably implied by the
“necessary and proper clause” of the
Constitution.
 Inherent Powers - powers that belong to the
sovereign state (U.S. Government).
Powers Denied to the
National Government
 Expressly
denied : the Federal
Government can not ….
 Denied by “silence” of the Constitution
and therefore belong to the states.
We
the
People
States: Governments of
Reserved Powers
 Reserved
Powers - neither expressly
given to the National government nor
denied to the States (All local
governments are sub-units of the States)
U.S.
Constitution
FEDERAL
to declare war
to coin money
immigration
to appoint
ambassadors
SHARED
Tax
create
courts
create
laws for
to interpret laws
the
general
interstate
welfare
commerce
STATE
to pass laws
health/education
voting
requirements
marriage
intrastate
commerce
police
The Constitutional Basis of Federalism
Article VI
“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
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.”
10th Amendment
“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”.
Puleaze!!!
Don’t Even...
The Big Lie!
Federalist NO. 45“The powers delegated by the proposed
Constitution to the federal government are few
and defined. Those which are to remain in the
State governments are numerous and
indefinite.”
James Madison
Brevity of the Constitution

The Framers of the Constitution deliberately
avoided detailed provisions in the document.
 Instead, brief phrases give flexibility to the
government they were creating.
 The Constitution does not define
what is meant by the Necessary and Proper
Clause - Congress can make “all Laws necessary
and proper for the carrying into Execution the
foregoing Powers”.
Article I Section 8 Clause 18
Contending Interests and
Changing Needs.
Federalism Through the
Years
 1787-1865: Federalism as National Supremacy
versus States’ Rights
 During the period from the adoption of the
Constitution to the end of the Civil War, the
constitutional debate continued over the proper
role of governments in the American system.
 Main issue: Nation-centered vs.
State-centered - can the Union survive?

Federalism Through the Years
The Doctrine of Nullification
Virginia-Kentucky Resolutions - authored by
Jefferson and Madison in response to the Alien and
Sedition acts, argued that States did not
have to obey laws passed by Congress
that the States thought were
“unconstitutional”doctrine of states rights.
 Marbury v Madison (1803) - the federal
courts have the authority to interpret & nullify
(declare unconstitutional) laws
Federalism Through the Years:
The Marshall Court

During the formative years of the republic,
Chief Justice John Marshall’s Supreme Court
defended national supremacy with other decisions:
 Fletcher v Peck (1810) - Supreme Court has the
right to review/overturn a state law
 McCulloch v Maryland (1819)- elastic clause
 Gibbons v Ogden (1824) Federal authority of
interstate commerce, not the scope of a state
The U.S. Constitution

McCulloch v Maryland - the Supreme Court
decided “States have no power to retard, impede,
burden, or in any manner, control the operation of
the constitutional laws enacted by Congress”.
 Edwin McCulloch, who was head cashier at the
U.S. Bank in Maryland, refused to pay the tax
Maryland placed on the Bank of the U.S. The
resulting dispute reached the Supreme Court.
McCulloch v. Maryland
? Can a State tax an agency No.
A State can not tax an
agency of the Federal
of the Federal
government.
Government?
? Is a Bank of the United  Yes. It is necessary and
proper to infer that a
States legal according to
government with the power
the Constitution?
to tax, borrow money, and
regulate commerce could
establish a bank in order to
exercise those powers
properly.
?
Federalism Through the Years
The Doctrine of Nullification

In response to high tariffs during Jackson’s
presidency, John C. Calhoun argued his theory of
nullification, that each State had the constitutional
right to nullify a national law.
The Civil War:
The Greatest Test

The secession of the Southern States challenged the
supremacy of the federal government; the ultimate
decider of states’ rights versus federal authority
Federalism Through the Years
The Great Depression

The Great Depression revealed that Americans
had become a national community with national
economic needs.
 All States felt the economic woes of the
Depression - States had
assumed the responsibility
for welfare but they were
penniless to render assistance.
Federalism Through the Years
The Great Depression

The expansion of the Federal Government takes
place when F.D.R. and the Congress implement the
New Deal, which attempts to
“prime the pump”
of the economy.
Federalism Through the Years
The 1960s

During the 1960s under the Johnson
Administration, the Great Society programs again
expanded the range of federal activity at the state
level with the goal of alleviating
poverty, particularly in urban areas.
Money from national government
to states: the carrot and stick approach.

The Civil Rights Movement
Seventies and Eighties
 New
Federalism- Richard NixonRevenue Sharing
 Reagan
Revolution- National
Government as an enemy of the people
Federalism Today

President Bush has campaigned with the promise
of allowing states to manage the affairs of
people’s everyday lives…
 With the Federal government taking
a supportive role.
 The Federal government continues
to “suggest” paths for the states
to take with the promise of Federal
grants for education, health care and
other programs.
Obligations the Federal
Government Has to the States

Guarantee of a Republican Form of Government
- a government in which people are represented
through elections
 Protection Against Invasion and Domestic
Violence - An attack on the U.S. or a call from a
State for help during a riot
 Respect For Territorial Integrity - Recognize the
legal existence and territorial boundary of a State
 Admitting New States - Doing so without taking
territory from an existing State.
The States Assists the
Federal Government

National Elections - conduct elections,
paid with State and local funds.
 Naturalization of Citizens - the legal process
takes place in State Courts.
 Federal Fugitives – capture and
hold fleeing federal fugitives
for federal agents.
How Do Several of the
Constitution’s Provisions
Promote Cooperation Between
and Among the States?

Interstate Compacts - Agreements among the
States.
 Full Faith and Credit - Respect the validity of legal
documents and civil court proceedings of a State.
 Extradition - A fugitive from one State is returned
to the State where the crime was committed.
 Privileges and Immunities - a resident of one State
will not be discriminated against unreasonably by
another State.
Dual Federalism

Constitutional doctrine holds that certain policy
areas, such as interstate commerce
and defense, were the clear and
exclusive province of national authority.
 Other policy areas, such as
public heath and intrastate
commerce belonged clearly
and exclusively to the states.
 Referred to as layer cake federalism.
Cooperative Federalism

Marble Cake Federalism, rejects the idea of
separate spheres or layers for the states and national
government and promotes cooperation between
federal and state governments:
 Shared costs
 Federal guidelines
 Shared administration ; a fragmentation of
responsibility
Intergovernmental Relations
Today
Intergovernmental Cooperation:
Fiscal Federalism

Categorical Grants - Money from the Federal
government to assist States carry out many of its
functions - “strings attached”.

Block Grants - Money given by the Federal
government to States for a broadly defined purpose “strings attached”.

Revenue Sharing - a % of tax money is given to the
States to distribute as they see fit.
Intergovernmental Cooperation:
Competitive Federalism
Conditions of Aid - “with strings attached”-the
Federal government gives Grants based
on a certain condition that must be
fulfilled by the State
 Mandates - the Federal government dictates what
the States must do - especially in areas of civil rights
and the environment.
 Unfunded mandates- are requirements on state &
local governments- but no money

Intergovernmental Relations
Today

Federal Grants to State and Local Governments (Figure 3.1)
Understanding Federalism

Advantages for
Democracy
– Increasing access to
government
– Local problems can
be solved locally
– Hard for political
parties / interest
groups to dominate
ALL politics

Disadvantages for
Democracy
– States have
different levels of
service
– Local interest can
counteract national
interests
– Too many levels of
government- too
Understanding Federalism
Understanding Federalism
 Federalism
and the Scope of
Government
– Which level of government is best
able to solve the problem?
– Which level of government is best
able to fund solutions to the
problem?