Federalism
AP US GOVERNMENT & POLITICS
DR. SMITH
Why “Federalism” Matters

Federalism is behind many things
that matter to many people:
 Tax
rates
 Speed
 Liquor
limits
laws
 School
funding
 Health
insurance
Governmental Structure
Sovereignty: supreme or ultimate political
authority
 Federalism: a political system where
local government units can make final
decisions regarding some governmental
activities and whose existence is
protected
 Devolution: the effort to transfer
responsibility for many public programs
and services from the federal
government to the states

Federalism: Good or Bad?

Bad:
 Source
of confusion and/or controversy,
particularly during times of crisis
 Impedes progress and caters to local
interests

Good:
 Contributes
to governmental strength,
political flexibility, and fosters individual
liberty
 Federalist #10: small political units allow all
relevant interests to be heard
 Federalism increases political activity
Federalism: A Bold New Plan

No historical precedent

Tenth Amendment: was added as an
afterthought to clarify the limits of the national
government’s power

“Necessary and Proper Clause”: found in
Article I; expands federal power; Congress can
exercise powers not specifically given to it
(enumerated) by the Constitution
The Colbert Report and Federalism?

Watch the following clip on “The Colbert
Report.”

How does this explain the principles of
federalism in the United States today?

http://blog.zap2it.com/pop2it/2013/08/stephe
n-colberts-gay-mayor-johnny-cummingssegment-will-restore-your-faith-inhumanity.html
Debating the Meaning of
Federalism

McCulloch v. Maryland (1819)
 Could
John
Marshall
Congress charter a national bank? Yes,
even though this power is not explicitly in the
Constitution (Necessary and Proper Clause)
 Could
states tax the national bank? No,
because “the power to tax is the power to
destroy”
Theories and Metaphors

Dual Federalism (“Layer-Cake Federalism”): a view
that holds the Constitution is a compact among
sovereign states, so that the powers of the national
governments and the states are clearly differentiated
 The national government rules by enumerated
powers only
 The national government has a limited set of
constitutional purposes
 Each government unit—nation and state—is
sovereign within its sphere
 The relationship between nation and states is best
characterized by tension rather than cooperation
Theories and Metaphors
States’ Rights: the idea that all rights not
specifically conferred on the national
government by the Constitution are
reserved to the states
 Nullification: the doctrine that a state can
declare “null and void” a federal law, that in
the opinion of the state, violates the
Constitution (first argued in “Virginia and
Kentucky Resolutions” 1789)

Theories and Metaphors

Cooperative Federalism (“Marble-Cake Federalism”):
a view that holds that the Constitution is an
agreement among people who are citizens of both
state and nation, so there is much overlap between
state powers and national powers
A different theory of the relationship between state and
national governments
 The components are cooperative federalism include:

 National
and state agencies typically undertake
government functions jointly rather than exclusively
 The nation and states routinely share power
 Power is not concentrated at any government level or in
any agency
 Fragmentation of responsibilities gives people and groups
access to many venues of influence

Critical difference between dual and cooperative
federalism lays in interpretation of the “elastic clause”
and the Tenth Amendment
State Sovereignty

Police Power: state power to enact laws
promoting health, safety, and morals

Initiative: process that permits voters to put
legislative measures directly on the ballot

Referendum: procedure enabling voters to
reject a measure passed by the legislature

Recall: procedure whereby voters can
remove an elected official from office

Very popular in Western states (influence of
Progressive era reform)
Federal-State Relations

Grants-in-Aid: money given by the
national government to the states
 Dramatically
20thcentury
increased in scope in
 Attractive
to states for both economic
and political reasons
 Federal
activists work with
intergovernmental lobbying groups to
determine how and when grants are
awarded
Federal-State Relations
Categorical Grants: for specific purposes
defined by federal law; often require
local matching funds
 Block Grants: devoted to general
purposes with few restrictions—states
preferred block to categorical grants
 Revenue Sharing: requires no matching
funds and can be spent on almost any
governmental purpose

The
Changing
Purpose of
Federal
Grants to
State and
Local
Governme
nts
Budget of the U.S. Government, Fiscal Year 2005, table 12.2.
Federal Aid and Federal
Control

Mandates: federal rules that states or localities must
obey, whether or not they accept federal grants
 When
the federal government spends less on a
preferred policy, it will pressure the states to spend
more in that area

Conditions of Aid: tell state governments what they
must do if they wish to receive grant money
A Devolution Revolution?
During Reagan’s presidency, efforts were
made to consolidate categorical grants
and change them to larger “block grants”,
which have fewer strings attached to
them.
 This was the beginning of the devolution
effort, which aimed to pass down many
federal functions to the states
 Recent studies show that the success of
devolution was limited

The Devolution Revolution

Second-Order Devolution: the flow of
power and money from the states to
local governments

Third-Order Devolution: the increased
role of nonprofit organizations and
private groups in policy implementation
Congress and Federalism
 Members
of Congress represent
conflicting constituencies
 The
erosion of parties increases political
competition
 Americans
differ in the extent to which
we like federal versus local decisions