Federalism
Constitutional Underpinnings #3
Federalism Defined
Political system with local
government units, besides
national one that can make final
decisions regarding some
governmental activities and
whose existence is protected
A New System
Unitary System
Federal System
Confederate System
Strong Central Government Split Powers Weak Central Government
Trampled on Liberty
Between State and National
Couldn’t Protect the People
NATIONAL
STATE
STATE
NATIONAL
STATE
STATE
NATIONAL
STATE
STATE
STATE
A New System
• The plan had no historical
precedence
• The idea was neither the Federal nor
State governments would ever
dominate over the other since the
power comes from the people, and
the people would shift their support
Federalism in the Constitution
Types of Powers
Expressed Powers
Powers granted to the Federal Government
(Article 1, Section 8)
Reserved Powers
Powers reserved to the States by the 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”)
Concurrent Powers
Powers that both the Federal and the State Governments
hold to some extent (Taxation, Construction, Etc…)
Two Theories of Federalism
The Supremacy
Clause
Federalism
Cooperative
Federalism
TheDual
Tenth
Amendment
This Constitution,
powers
notand
delegated
•The
The
national
state
• The
national and the
Laws of the United States
governments
are
government
is supreme
to the United States by
which shall be made in
partners,
and co- nor
over the states.
the Constitution,
Pursuance thereof; and all
equals, sovereign
• Treaties
The state
governments
prohibited
by it to in
the
made,
or which shall
their own
beact
made,
under the
as agents
toAuthority
help
States,
are areas
reserved to
ofdesign
the United
States, shall
•the
Belief
that
the federalor
programs
thatbe
States
respectively,
the
supreme
Law ofthe
the Land;
government
only
can
go
along
with
to the people.
and
the Judges
in every State
act in areas specifically
national
interest
shall be bound thereby, any
stated in the
Thing in the Constitution
Constitution
or Laws of any State to the
Contrary notwithstanding.
Evolution of Federalism
Dual Federalism
Federal Government
Dual Federalism is referred to as LAYER CAKE
The federalism.
easiest way to
Federalism
In picture
this casehow
theDual
layers
exist
Worksofisthe
to picture
this…..There is
independently
other layers.
State Government
no interaction between them. Each is
responsible for their own flavor.
Local Government
Evolution of Federalism
Founding until 1930s (Dual Federalism)
Although, for the most part, the federal
and the state government remained
independent of each other, certain
things chipped away at the balance of
power between the two.
Evolution of Federalism
1819: McCulloch v. Maryland
Nullification
• Ruled of the existence of “Implied Powers.”
• The doctrine that a state can declare a
Powers not specifically given to the
federal law null and void, if the state believes
government but implied by the “elastic”
it isorunconstitutional. Used by the South
“necessary and proper clause” against efforts to limit or abolish Slavery.
• Ruled that the Federal Government wasThe Civil War answer that question
supreme and immune from state challenges
such as taxes
1824: Gideon v. Ogden
• Congress's right to regulate commerce
under the Commerce Clause could be
"exercised to its utmost extent, and
acknowledges no limitations, other than
those prescribed in the constitution...“
Dual Federalism Breaks Down
• As time went on Dual Federalism erodes due to
several factors
– Defining “Intrastate” and “Interstate” Commerce
• As the economy grew due to advance in technology and
transportation it became impossible to differentiate
between the two. By 1940s almost all commerce was
considered “interstate.”
– Expansion of the definition of Commerce
• By far the biggest way the national government has
expanded its power is through redefinition of “commerce.”
Today “pollution”, “crime”, and “education” all fit into
“commerce” in some way.
Evolution of Federalism
FEDERAL GOVERNMENT
Cooperative Federalism
Cooperative Federalism is referred to as
The
easiest
way
to
picture
how
Cooperative
MARBLE CAKE federalism. In this case the
to picture
layersFederalism
get mixedWorks
in withiseach
other this…..
to where
it is impossible to separate them from one
another. Usually it results in one flavor
being the dominant one.
STATE GOVERNMENT
Era of Cooperative Federalism
Like all great relationships….
The relationship between State and
Federal Government is defined by $$$
Grants-in-Aid
Definition: Money (or resources) given by the
national government to the states.
Land Grants: Began even prior to Constitution. Land was given to the states
and then sold, the proceeds used to finance Universities (land-grant
colleges)
Cash Grants
• Began in 1808, but remained relatively few
• Increased Dramatically in the 20th Century.
–
–
–
–
Federal Surplus
Income Tax led to increase in revenue
Federal Government controlled money supply
States liked the money (spend none of the money but
take all of the credit for the project)
• Leads to National Legislature voting for
everybody’s projects so they would have support
for theirs.
Cash Grants
• 1920s to 1950s these grants were PROJECT
GRANTS. States would design the project, the
federal government would provide funding for
it.
• 1960s the Federal Government started taking
the lead and designing programs to fulfill
“national needs.” Hard for states to counter
since the states had become dependent on
federal money.
Types of Grants
• Land Grants
• Project Grants
• Categorical Grants
– Money given for a specific purpose defined by federal
law.
• Block Grants
– Money from the national government that states can
spend within broad guidelines.
• Revenue Sharing
– Federal sharing of a fixed percentage of its revenue
with the states (no longer used)
Federal Aid and Control
Conditions of Aid
If States meet
certain conditions
then the States will
receive certain
federal funds.
Mandates
Terms set by the
national
government that
states must meet.
Federal Mandates
• Most mandates revolve around civil rights or
environmental protection.
– Problems
• Sometimes vague in terms of definitions
or estimated costs
• Unfunded Mandates
–Requirement by Federal Government that is
not paid for by Federal Government
(Americans with Disabilities Act)
Effects of Federalism
• Negative
– Entrenches Powerful Local Interests
• Civil Rights, Voting, Segregation
• Positive
– Diversity in Power
– Lowers Cost of Political Activity
– “Laboratories” of Democracy