Federalism
3
State and National
Governments in
conflict?
L.O. 3.1: Define federalism and contrast it with alternative ways of organizing a nation.
Defining Federalism
3.1
 What is federalism?
 Unitary system
 Power given to central government…Most nations
 Confederation
 Weak national government and power given to states
 No States use this arrangement today
 Are there other examples?
 Intergovernmental relations

The dealings of federal and state governments with one another in a
federal system
Federalism is not a common way of organizing government. Only 11 out of 190 countries use a
federal system. Most nations have unitary systems, in which all power resides with the central
government. States in the U.S. have a unitary relationship with local governments.
L.O. 3.1: Define federalism and contrast it with alternative ways of organizing a nation.
Authority relations in three systems of
government
3.1
L.O. 3.1: Define federalism and contrast it with alternative ways of organizing a nation.
3.1 Which organizing system does
the government in the United States
use?
a. Confederate
b. Unitary
c. Federal
d. Intergovernmental
3.1
L.O. 3.1: Define federalism and contrast it with alternative ways of organizing a nation.
3.1 Which organizing system does
the government in the United States
use?
a. Confederate
b. Unitary
c. Federal
d. Intergovernmental
3.1
L.O.3.2: Outline the constitutional basis for the division of power between national and state governments, the establishment
of national supremacy, and states’ obligations to each other.
Constitutional Basis of
Federalism
3.2
 Division of Power
Why Federalism???
 Are you an American or a Wisconsonite??? What about in 1787?
Practicality in a large Republic?
L.O.3.2: Outline the constitutional basis for the division of power between national and state governments, the establishment
of national supremacy, and states’ obligations to each other.
Constitutional Basis of
Federalism
3.2
Division of Power
 States retained many powers
They simply retained all powers that were not
expressly forbidden. (Monk Article 1, Section 10)
In addition to powers retained “silently”, the
Constitution specifies that states carry out
certain responsibilities:
 Organize local governments and elections
 Ratify Constitutional amendments
 Maintain Republican govt.
L.O.3.2: Outline the constitutional basis for the division of power between national and state governments, the establishment
of national supremacy, and states’ obligations to each other.
Some Powers Denied States by the
Constitution Article I, Section 10
3.2
L.O.3.2: Outline the constitutional basis for the division of power between national and state governments, the establishment
of national supremacy, and states’ obligations to each other.
Division of Power
3.2
Federal obligations to states (Monk Art. I
Section 9)??




Cannot divide states
Cannot tax interstate exports
Protect states against invasion
Overlapping responsibilities
 establishing courts, maintaining law and order, protecting citizens’ health
and safety, and regulating financial institutions. They can both levy taxes
and take private property by eminent domain.
L.O.3.2: Outline the constitutional basis for the division of power between national and state governments, the establishment
of national supremacy, and states’ obligations to each other.
National Supremacy
Which level should do what?
 Debates over areas of policy responsibility
 Supremacy clause Art. VI
 Civil War
 The Struggle for Racial Equality
 Tenth Amendment
 Eleventh Amendment
3.2
L.O.3.2: Outline the constitutional basis for the division of power between national and state governments, the establishment
of national supremacy, and states’ obligations to each other.
Wallace and segregation
3.2
In 1963, Alabama Governor George Wallace made a dramatic stand at the University of
Alabama to resist integration of the all-white school. Federal marshals won this
confrontation, and since then the federal government in general has been able to
impose national standards of equal opportunity on the states.
L.O.3.2: Outline the constitutional basis for the division of power between national and state governments, the establishment
of national supremacy, and states’ obligations to each other.
National Supremacy
 Implied Powers



McCulloch v. Maryland (1819) Reading and Discussion
Enumerated powers
Elastic clause
3.2
L.O.3.2: Outline the constitutional basis for the division of power between national and state governments, the establishment
of national supremacy, and states’ obligations to each other.
National Supremacy
 Commerce power…What is Commerce??

Gibbons v. Ogden (1824) Reading and Disc
 Defines Commerce: The Court’s opinion in Gibbons v. Ogden
defined commerce so broadly as to encompass virtually any
commercial activity.
 Supremacy clause
Why give the Federal government the commerce
power?


Promote economic development
Regulate economic activity and non-economic
 Heart of Atl Case Study
3.2
L.O.3.2: Outline the constitutional basis for the division of power between national and state governments, the establishment
of national supremacy, and states’ obligations to each other.
Supremacy Clause and Immigration
Arizona Immigration Law
Supreme Court Decision
3.2
L.O.3.2: Outline the constitutional basis for the division of power between national and state governments, the establishment
of national supremacy, and states’ obligations to each other.
States’ Obligations to Each Other
3.2
 Full faith and credit
•The Constitution requires that states give full faith and credit
to the public acts, records, and civil judicial proceedings of
every other state.
–
WHY???
•Modern Implications
–
Marriage?
•
Because of the full faith and credit clause of the Constitution, marriage certificates
issued by one state are valid in every state. Gay marriage has strained these
principles.
•
When Hawaii legalized same-sex marriage, Congress passed the Defense of
Marriage Act, which allowed states to make an exception to the full faith and credit
clause and not recognize same sex marriages performed in other states. Is DOMA
constitutional?
L.O.3.2: Outline the constitutional basis for the division of power between national and state governments, the establishment
of national supremacy, and states’ obligations to each other.
States’ Obligations to Each Other
3.2
 Full faith and credit
•Modern Implications
–
Marriage and DOMA
•
•
Is DOMA Constitutional??
United States v Windsor
Can States Restrict
Access to Marriage based on sexual preference
* Obergefell v. Hodges
The 5th and 14th amendments and Federalism?...
L.O.3.2: Outline the constitutional basis for the division of power between national and state governments, the establishment
of national supremacy, and states’ obligations to each other.
States’ Obligations to Each
Other
3.2
 Extradition
 The Constitution requires states to return a person charged with a
crime in another state to that state for trial or imprisonment
 Privileges and immunities
 The privileges and immunities clause of the Fourteenth Amendment
are designed to prevent discrimination by states against visitors or new
residents coming from other states. But there are many exceptions to
this clause. State universities, for example, can charge higher tuition to
out-of-state students.
L.O.3.2: Outline the constitutional basis for the division of power between national and state governments, the establishment
of national supremacy, and states’ obligations to each other.
3.2 Which clause of the Constitution
requires states to honor contracts
signed in other states?
a. Privileges and immunities
b. Full faith and credit
c. Necessary and proper
d. Commerce
3.2
L.O.3.2: Outline the constitutional basis for the division of power between national and state governments, the establishment
of national supremacy, and states’ obligations to each other.
3.2 Which clause of the Constitution
requires states to honor contracts
signed in other states?
a. Privileges and immunities
b. Full faith and credit
c. Necessary and proper
d. Commerce
3.2
L.O.3.2: Outline the constitutional basis for the division of power between
national and state governments, the establishment of national supremacy, and
states’ obligations to each other.
Quiz time!!
1. Identify the provisions within the Constitution that define
federalism in the United States and explain how each shapes the
relationship between the federal and state governments.
* Expressed Powers: Art I, Sec. 8
- Necessary and Proper Clause
- Commerce Clause
* Powers Denied: Art I Sec.’s 9, 10
* Supremacy Clause, Art. VI
* 10th Amendment
• Incorporation and the Bill of Rights (5th, 14th, etc.)
• Privileges and Immunities Clause
• Full faith and credit clause
2. Explain the federalism implications of McCulloch v Maryland and
Gibbons v. Ogden
McCulloch: Necessary and Proper Clause validated, supremecy clause, popular sovereignty
Gibbons: Broad definition of Commerce with far reaching implications, Supremecy clause
L.O.3.2: Outline the constitutional basis for the division of power between national and state governments, the establishment
of national supremacy, and states’ obligations to each other.
Video: In Context
3.2
http://media.pearsoncmg.com/ph/hss/SSA_SHARED_MED
IA_1/polisci/presidency/Seg3_Federalism_v2.html
Video: The Big Picture
3
http://media.pearsoncmg.com/ph/hss/SSA_SHARED_MED
IA_1/polisci/presidency/Edwards_Ch03_Federalism_Seg1_
v1.html
Video: The Basics
3
http://media.pearsoncmg.com/ph/hss/SSA_SHARED_MED
IA_1/polisci/presidency/Seg2_Federalism_v2.html
L.O. 3.3: Characterize the shift from dual to cooperative federalism, the role of fiscal federalism in intergovernmental relations
today, and diversity in policies among the states.
Intergovernmental Relations
 From Dual to Cooperative Federalism
 Devolution?
 Fiscal Federalism
3.3
L.O. 3.3: Characterize the shift from dual to cooperative federalism, the role of fiscal federalism in intergovernmental relations
today, and diversity in policies among the states.
From Dual to Cooperative
Federalism
3.3
 Dual federalism
 Separate spheres of authority
 Layer cake
 Interpret federal power narrowly
E.C. Knight
Shreveport Rate Case
Schecter Poultry
Carter v.Carter
 Cooperative federalism
 Shared costs
 Federal guidelines
 Shared administration
NLRB v. Jones and Laughlin Steel
U.S. v. Darby
Wickard v. Filburn
Heart of Atlanta
L.O. 3.3: Characterize the shift from dual to cooperative federalism, the role of fiscal federalism in intergovernmental relations
today, and diversity in policies among the states.
No Child Left Behind Act
3.3
L.O. 3.3: Characterize the shift from dual to cooperative federalism, the role of fiscal federalism in intergovernmental relations
today, and diversity in policies among the states.
From Dual to Cooperative
Federalism
 Cooperative federalism in action
 Schools – NCLB
Waivers?/ Rewrite
3.3
L.O. 3.3: Characterize the shift from dual to cooperative federalism, the role of fiscal federalism in intergovernmental relations
today, and diversity in policies among the states.
Interstate highways
Highways and State Alcohol laws??
Strings attached??.
3.3
L.O. 3.3: Characterize the shift from dual to cooperative federalism, the role of fiscal federalism in intergovernmental relations
today, and diversity in policies among the states.
Devolution?
 Party divide on federalism
 Democrats favor national government power to advance
national policies of health, safety, and social welfare
 Republicans favor states
 allow states to handle these responsibilities without
government regulations.
 Devolution since Reagan
 Loosening federal regulations…on the economy
 1994 Congress: Republicans repeal fed. regulations
 Harnessing federal government power…on social issues
(remember DOMA?)
3.3
L.O. 3.3: Characterize the shift from dual to cooperative federalism, the role of fiscal federalism in intergovernmental relations
today, and diversity in policies among the states.
Fiscal Federalism
 The Grant System
 Categorical grants





Specific purpose
Crossover sanctions
Crosscutting requirements
Project grants
Formula grants
 Block grants
 1994 Congress
 Scramble for federal dollars
 Mandate blues
3.3
L.O. 3.3: Characterize the shift from dual to cooperative federalism, the role of fiscal federalism in intergovernmental relations
today, and diversity in policies among the states.
Fiscal Federalism
 The Grant System
 Categorical grants





Specific purpose
Crossover sanctions
Crosscutting requirements
Project grants
Formula grants
 Block grants
 1994 Congress
 Scramble for federal dollars
 Mandate blues
3.3
L.O. 3.3: Characterize the shift from dual to cooperative federalism, the role of fiscal federalism in intergovernmental relations
today, and diversity in policies among the states.
FIGURE 3.1: Fiscal federalism: Federal
grants to state and local governments
3.3
Federal grants to state and
local governments have grown
rapidly in recent decades and
now amount to more than $600
billion per year. The sharp
increase in grants for 2010 and
2011 was the result of the
stimulus package designed to
counter the country’s financial
crisis. The distribution of grants
is not static. The percentage of
grants devoted to health care,
especially Medicaid, has
increased substantially, mostly
at the expense of income
security programs.
L.O. 3.3: Characterize the shift from dual to cooperative federalism, the role of fiscal federalism in intergovernmental relations
today, and diversity in policies among the states.
3.3 Which of the following gives
states more discretion in using
federal funds?
a. Categorical grant
b. Formula grant
c. Block grant
d. Mandate
3.3
L.O. 3.3: Characterize the shift from dual to cooperative federalism, the role of fiscal federalism in intergovernmental relations
today, and diversity in policies among the states.
3.3 Which of the following gives
states more discretion in using
federal funds?
a. Categorical grant
b. Formula grant
c. Block grant
d. Mandate
3.3
L.O. 3.4: Explain the consequences of federalism for diversity in public polices among the states.
3.4
Diversity in Policy
 Diversity in public opinion reflected in State policy
Medicaid
expansion
under the
Patient
Protection Act
L.O. 3.4: Explain the consequences of federalism for diversity in public polices among the states.
Diversity in Policy
 Policy innovation facilitated
 Minimum Wage
Assisted Suicide or Death with Dignity??
3.4
L.O. 3.4: Explain the consequences of federalism for diversity in public polices among the states.
Diversity in Policy
3.4
 Diversity has its downside
States are dependent upon the resources within their borders to finance public services. This may
discourage states from providing some services so that, for example, poor people do not move to
states with higher welfare benefits. It also means that residents of states that choose to spend less
on certain services may lag behind residents of other states in, for example, quality of education.
Education spending/State
ACT Scores by State
L.O. 3.4: Explain the consequences of federalism for diversity in public polices among the states.
3.4 Which of the following is a result
of federalism?
a. Diversity of policies in states
b. States can be policy innovators
c. States can spend less on education
d. All of the above
3.4
L.O. 3.4: Explain the consequences of federalism for diversity in public polices among the states.
3.4 Which of the following is a result
of federalism?
a. Diversity of policies in states
b. States can be policy innovators
c. States can spend less on education
d. All of the above
3.4
L.O. 3.4: Explain the consequences of federalism for diversity in public polices among the states.
Video: Thinking Like a
Political Scientist
3.4
http://media.pearsoncmg.com/ph/hss/SSA_SHARED_MED
IA_1/polisci/presidency/Seg4_Federalism_v2.html
L.O. 3.5: Assess the impact of federalism on democratic government and the scope of government.
Understanding Federalism
3.5
 What are the benefits of Federalism in a large
Democratic Republic?

Representation of diverse local interests

Reduced conflict at the national level

Increased Citizen involvement

Acceptance of losing national elections
 What are the negatives of Federalism in a
large Republic?

increases opportunities for local interests to thwart national policy

can result in the election of a president not favored by a majority of the public

complicate efforts to make government responsive to diverse needs
L.O. 3.5: Assess the impact of federalism on democratic government and the scope of government.
Understanding Federalism
3.5
 Federalism and the Scope of the National
Government
 Agree or disagree? Explain
“The national government has grown in response to the demands of Americans for
public services it can best provide, but it has not in any way supplanted the states’
constitutional authority.”
L.O. 3.5: Assess the impact of federalism on democratic government and the scope of government.
Number of governments in America?
3.5
L.O. 3.5: Assess the impact of federalism on democratic government and the scope of government.
Federalism and the Scope of
the National Government
 Why national government grew?
 Economic intervention
 Industrialization




Quotas
Subsidies
Preventing monopolies
Occupational health and safety
 Urbanization
 Housing
 Social welfare
Other Reasons???
3.5
L.O. 3.5: Assess the impact of federalism on democratic government and the scope of government.
FIGURE 3.3: Fiscal Federalism: The size of
the public sector
3.5
L.O. 3.5: Assess the impact of federalism on democratic government and the scope of government.
3.5 Federalism has contributed to
democracy in all of the following
ways except:
a. The Electoral College
b. More opportunities for participation
c. Disputes resolved at lower levels
d. More points of access
3.5
L.O. 3.5: Assess the impact of federalism on democratic government and the scope of government.
3.5 Federalism has contributed to
democracy in all of the following
ways except:
a. The Electoral College
b. More opportunities for participation
c. Disputes resolved at lower levels
d. More points of access
3.5
L.O. 3.5: Assess the impact of federalism on democratic government and the scope of government.
Video: In the Real World
3.5
http://media.pearsoncmg.com/ph/hss/SSA_SHARED_MED
IA_1/polisci/presidency/Seg5_Federalism_v2.html
Discussion Question
3
In what ways has federalism contributed to
democracy? In what ways has federalism
been detrimental to democracy? Has this
pattern followed the Framers’ intentions?
Could they have foreseen the issues the
federal government and the states would
have to deal with after industrialization?
Video: So What?
3
http://media.pearsoncmg.com/ph/hss/SSA_SHARED_MED
IA_1/polisci/presidency/Edwards_Ch03_Federalism_Seg6_
v2.html