Government in America: People, Politics, and Policy
Edwards/Wattenberg/Lineberry
Chapter 3
Federalism
Marijuana and Federalism
How do the Controlled Substances Act,
the Compassionate Use Act and state
laws in Colorado and Washington conflict?
What constitutional principle did growers
feel was being violated by the federal
government? What did the Court say in
Gonzalez v Raich?
Defining Federalism
 What is Federalism?
Federalism: a way of organizing a nation so that two
or more levels of government have formal authority
over the land and people. Also known as a federal
system. The US is this type of government.
Unitary governments: a way of organizing a nation so
that all power resides in the central government.
Example: England
Confederation: The power lies with the states and the
central gov. is very weak. This is how we operated
under the Articles of Confederation. The United
Nations is a modern example.
Intergovernmental Relations: the workings of the
federal system- the entire set of interactions among
national, state and local governments
Defining Federalism
Defining Federalism
Why Is Federalism So Important?
Decentralizes our politics
More opportunities to participate
Decentralizes our policies
Federal and state governments handle different
problems.
• States regulate drinking ages, education, marriage, and
speed limits.
States can solve the same problem in different ways
and tend to be policy innovators.
The Constitutional Basis of
Federalism
The Division of Power
Supremacy Clause, Article VI of the
Constitution states the following are supreme:
The U.S. Constitution
Laws of Congress
Treaties
Yet, national government cannot usurp state
powers.
TENTH AMENDMENT!!!! Powers NOT given to the
federal government belong to the states!
The Constitutional Basis of Federalism
(Specific titles for each group of powers on the
next slides. Get these in your notes!!)
Enumerated Powers
Listed in the Constitution (18 all together)
Article I, Section 8
Declare war
Maintain a military
Regulate interstate and foreign commerce
Coin money
Punish counterfeiters
Establish post offices and post roads
Establish copyrights and patents
Implied Powers
Created by the Necessary and Proper
Clause (Art I, Sec 8, Clause 18), aka the
Elastic Clause
Allows Congress to STRETCH its power
beyond what is outlined in the Constitution
Example – The draft
Concurrent Powers
Powers shared by the states and the
federal government
Tax
Borrow Money
Build roads
Establish courts
Make laws
Spend money
Prohibited Powers
Things Congress is NOT allowed to do
Pass ex post facto laws
Suspend the writ of habeas corpus
Pass bills of attainder
Inherent Powers
The powers the government has
BECAUSE it is a government
Example: all governments can protect their
own borders. It’s understood as a power that all
governments have.
The Constitutional Basis of
Federalism
 Establishing National Supremacy happened through very
specific events (Each of which gets their own slide )
The Civil War (1861-1865)
The Struggle for Racial Equality
Brown v. Board of Education (1954)
Tenth Amendment
Eleventh Amendment (SKIP IT! NEVER SEEN IT ON
THE AP TEST… SERIOUSLY!!)
Implied Powers
Commerce Powers
Gibbons v. Ogden (1824)
Civil War (1861 – 1865)
Author states that this is NOT a battle over
slavery, it was a struggle over who held
the power, the states or the federal
government. What were they struggling
over?
Outcome favored the federal government
over states’ rights
Struggle for Racial Equality
 Again, this was a battle over states’ rights
 Key court decision: Brown v Board of Education
of Topeka, KS (1954)
 National government implemented
desegregation policies and the states had to
comply whether they liked it or not. The struggle
was long and difficult and took further action
from the federal government to guarantee that
policies were put in place and followed.
Reserved powers
TENTH AMENDMENT
Says that any power NOT given to Congress
through the Constitution is RESERVED to the
states or the people
States’ rights advocates use this amendment to
argue that the federal government should ONLY do
what’s mentioned in the Constitution
What are some areas that are (or should be) under
the control of the states?
Implied Powers - McCulloch v
Maryland (1819)
 Creation of the national bank
 The state of Maryland taxed the Baltimore branch of the
bank, action upheld in state court
 Questions:
 Does the fed government have the power to create the bank if it’s
not mentioned in the Constitution?
 Can the state of Maryland tax the federal government?
 Two major principles from the outcome of the case:
 Implied powers – there are powers Congress has that are not in
the Constitution because of the “elastic” or “necessary and
proper clause” (Article 1, Section 8, last paragraph)
 Supremacy of the federal government
Gibbons v Ogden (1824)
Outcome: The Supreme Court gave a
very broad interpretation to Congress’
power to regulate interstate commerce so
that it includes virtually every form of
commercial activity
Definition has become even more broad
with the expansion of technology
The Const. Basis of Federalism
 States’ Obligations to Each Other
Full Faith and Credit: Each state must recognize
official documents and judgments rendered by other
states.
Article IV, Section I of Constitution
Extradition: States must return a person charged with
a crime in another state to that state for punishment.
Privileges and Immunities: Citizens of each state
have the same privileges as citizens of other states.
Supposed to prevent discrimination against nonresidents
Article IV, Section 2 of Constitution
Exceptions?
Intergovernmental Relations Today
Dual Federalism
Definition: a system of government in which
both the states and the national government
remain supreme within their own spheres, each
responsible for some policies
Like a layer cake!!!!
Narrowly interpreted powers of federal
government
Ended in the 1930’s
Intergovernmental Relations Today
Cooperative Federalism
Definition: a system of government in which
powers and policy assignments are shared
between states and the national government
Like a marble cake!!!!
Shared costs, federal guidelines and shared
administration
Areas that show examples of cooperative
federalism?
• Education and transportation
Devolution?
 How do Democrats and Republicans differ when it
comes to responsibility for welfare and other programs?
Which party favors devolution? Why?
 Changes came again in the Bush administration when
the federal gov took back control over a variety of
programs (No Child Left Behind)
 Tea Party now wants power to go back to the states
 The American people believe that most of these
programs SHOULD be in the hands of the federal
government
Intergovernmental Relations Today
 Fiscal
Federalism - the
pattern of spending,
taxing, and providing
grants in the federal
system; it is the key
to the national gov’s
relations with state
and local govs
Intergovernmental Relations Today
Fiscal Federalism (continued)
The Grant System: Distributing the Federal Pie
Categorical Grants: federal grants given to states
and cities that can be used for specific purposes;
grants with strings attached
• Project Grants: based on merit, competitive
application process
• Formula Grants: amount varies based on
formulas (can depend on population, etc)
Medicaid is an example
Block Grants: federal grants given more or less
automatically to support broad programs
Which parties prefer which grants? WHY?
Intergovernmental Relations Today
Fiscal Federalism (continued)
The Scramble for Federal Dollars
$640 billion in grants every year
Grant distribution follows universalism—a little
something for everybody.
The Mandate Blues
Mandates direct states or local governments to
comply with federal rules under threat of penalties or
as a condition of receipt of a federal grant.
• Example: Medicaid
Unfunded mandates - states have to do what they’re
told with no financial help from the federal
government
• Example: Clean Air Act (1970), ADA (1990)
Understanding Federalism –
Diversity in Policy
Understanding Federalism
 Advantages for
Democracy
Increases access to
government
Local problems can be
solved locally
Hard for political parties
or 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 and too
much money
Understanding Federalism
Understanding Federalism
Federalism and the Scope of Government
What should the scope of national government
be relative to the states?
National power increased with industrialization,
expansion of individual rights, and social services.
Most problems require resources afforded to the
national, not state governments.
Fiscal Federalism – The Size of the
Public Sector
Summary
American federalism is a governmental
system in which power is shared between
a central government and the 50 state
governments.
The United States has moved from dual to
cooperative federalism; fiscal federalism.
Federalism leads to both advantages and
disadvantages to democracy.