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AP U.S.
Governrnent
and Politics
2005*2006
ProfessionalDevelopment
Workshop Materiais
Special Focr,Ls:
lnterconnectionsTeaching Across the Field
connect to collegesuccessrM
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Federalism
ChristopherBurkett
Newberry College
Newberry,South Carolina
Federalisrnis one of the colnerstoneprinciplesin Americangovernment.It is essential
that studentswho studyAmerican governmentunderstandthe conceptsof federalism
and ail that it entails.Tire foliowing "talhingpoints,"recommendedreadings,and follo'vr'up activitiesshould assistyou and your studentsin understandingthe complexitiesof
federalismand its connectionsto Congress,thg presidencl',and the courts.
Talking
Points
it is good to begin with a discussionthat studentscan relateto their own lives.One
topic that most studentsfind relevantis obtaining a driver'slicense.Once this has been
explored,askhow many studentsregisteredto vote or had the option while obtaining
their iicense.You may get varying responses,but somewill probably say they did. Segue
this into a discussionaboutwhether it is a good idea to registerwhile,vou obtain a
Iicense.Once all havedecidedthat it is a good idea,askwh1'man;'statesopposedthis
idea.Bring up the ideasaround unfunded mandatesas an introduction to federaiism.
This approachalso lends itself to a discussionabout the drinking ageand highway
funds.
. The substantivemodel of democrac)rsaysthat the governmentwill make laws
that legislatorsfeel are in the bestinterest of citizens.What the scenario
tells us, and also in general,is that stateswill give up sovereigntyin
exchangefor money from the federal government.
. Sovereigntyis the qualrty of being supremein power or authoritl'.
, Congressrecognizedthe sovereigntyof statesby not legisiatinga national
drinking age.
AP U.S.Government and Politics: 2005-2006l\iorkshop Materiais
I. Theories of Federalism
Federalism
asi.vellasthe national
is a politicalsystemrvherelocalunitsof government,
government,
canall rnakefinal decisions
activities.
with respectto somegovernmental
It is not easyto draw a line betweenwhat is stateand what is federal (e.g.,the state
militia is both stateand federal).
A. Dual Federalism
. Main elements:
1. Supportersbelievethat the necessaq/
and proper clauseshould be narrowly
interpreted;the national government rules by enumeratedpor,versonly.
2. The national government has a iimited set of constitutional purposes,which
limits the powers of the national government.
3. Nation and statesare sovereignwithin their sphere,which meansstatesare
sovereignover many areasof policy.
The
4.
relationshipbetweennation and statesis best charactenzedby tension
ratherthan cooperation.
) States'rightsareprimary in dual federalism.
o
Dual federalismis describedas"layer-cakefederalisml'Thepowersof national
and stategovernmentsare as separateas the layerson a cake.Each government is
supremein its own "layer."
Dual federalismis the practiceof allowing statesand the nation to exercisepower
separatelyin areasof legitimate concern to them.
Dual federalismhas been challenged.Somecritics saythat if the national
governmentis really a creationof the states,then it is a creationof the original 13
states.Ratificationwas by people,not states;conventions,not some legislatures.
Many critics do not favor federalism.
B. Cooperative Federalism
. This phrasewas coined in the 1930s.Thosewho are for cooperativefederalism
supporta strong,active,national government.
. They supportthe necessarvand proper clauseof the Constitution.
. There arethree main elementsto cooperativefederalism:
1. Nationaland stateagencieswork togetherjointiy.
2. Stateand nation routinely sharepower.
3. Poweris not concentratedon any governrnentlevel or in any agency;there
are many centersof influence.
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cooperativefederalismis known as a "marble,cake."
Critical to cooperative
federalisrnis its view of the supremacyclause,which saysthe highestlar.t'is the
Constitution,federallaws,and treaties,and theselawsmust be obeyedwhen in
conflict with statelar,vs.
A critical differencebetweendual and cooperativefederalismis hou' each
interpretsthe elasticclauseand the TenthAmendment:
Dual federalism:Naruowinterpretationof elasticclause(implied power)
and states'rights
Cooperativefederalism:Broadinterpretationof necessaryand proper clause
and what the Tenth Amendment actually states
Conservativesfavor the layer-cakemetaphor,and liberais favor the marble cake
or cooperativefederalism.
II. The Dynamics
of Federalism:
Legal Sanctions
and Financial
Incentives
. The balanceof power betweennation and stateshas alwal'sbeen a matter of
politics. The federal governmenthas assumedmany functions.
. Why the power shifted from the statesto the federal gorrernment:
(e.g.,the Civil War)*states thleatenedto secede,
1. Historical circumstances
and national governmenthad to step in.
2. Constitutionalamendments(e.g.,the Fourteenth,Sir-teenth,and Seventeenth
Amendmentslimited statesrights)-The Fourteenth Amendment r,r'asdue
processand equalprotection;the Sirteenthmandatedincome tax; the
Seventeenthcreateda direct election for senators.
The national governmenthas had to rely on incentivesand sanctionsto er,pand its
POwers.
A. Legislation in the Elastic Clause
The elasticclausegivesCongressthe power to make lar.t'sthat are necessa$,and proper.
This helps Congressincreaseits powers.
Changeoften comesin times of crisis and national emergency(e.g.,the Civil rvVar,
the
civil rights movement,and the Depression).The national governmentmust respond..It
respondsby enactinglegislationto deal with the problem.
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B. |udicial Interpretation
Since1937,the SupremeCourt has almostalwavssupportedthe national
government
in contestsinvolving the balanceof power befweenthe nation and the states.
In cases
whele stateshavetried to limit personalfreedom,fed.eralcourts havestepped
in to
overrulethem.
Growth of the national governmenthasarsocomefrom the interpretation
of the
Constitutionby the SupremeCourt.
The Fourteenthand FifteenthAmendmentshave increased the powers
of the national
government.
The courts havemade statesredraw lines to show a shift in populations
so that districts
would reflectone-man/one-votein elections.
C. Grants-in-Aid
This is money paid by one level of governmentto another.Many
grants must be
matchedby statemoney.
There are two forms of grant-in-aids: categoricalgrants and block
grants.
1' Categoricalgrants arefor specificpurposes.Thereis little independence
on how the
money will be spent.There are two gpes of categoricalgrants:
a' Formula grants-A formula is usedto determinewho is eligible
and hou, much
they will get.some things to considerwould be stateper-capitaincome,
number
of school-agechildren,and
of familiesbelow the poverry line.
'umber
b' Projectgrants-Grants awarded
on u,' basisof competitiveapplications(e.g.,
spousalabuse,homelessness,
AIDS).
2' Block grantshave a broad generalpurpose.Recipientshaveconsiderable
freedorn in
how to allocatethe money (e.g.,communify service,criminal justice).
Grants-in-aidarea method to redistributeincome,to removegross
inequality among
statesand its people.
Sometimesthe useof formulas to determinewho benefitsfrom grants
becomespolitical
in Congress.(Eachcongressmanwantsto make surehis/her state
receivesas much as
possible.)
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AP U.S.Government and politics: 2005_2006 rvVorkshopMaterials
The nationalgovernmentcontrolsgrantsto statesthrough rules,regulations,and
restrictionsto makesurethe money is usedfor the puryoseit was given.
III. The Developing
Concept of Federali.sm
A. McCulloch r'. Maryland
Under the necessary
and proper clause,Congresshad the power to createa national
bank,the SecondBank of the United States.The U.S.SupremeCourt agreedthat
the nationalgovernmenthaspowersin addition to thoseexplicitll'granted in the
Constitution.
B. StatesRights and Dual Federalism
According to somescholars,slaveryu'asnot the major issuefor fighting the Civil War.
The real issuewas federalisrnin the Constitution, or "states'rights."
C. The New Deal and its Consequences
The national governmentassumedresponsibiiitiesfor providing relief after directing
economic recoveryafter the Great Depression.Congresscame up with programs to
restoreeconomic activif and easeunemployment.
Through regulationsattachedto funds,the national government extended its powers
and control over states.The SupremeCourt did not get involvedin legislationpassed
by Congressat first but iatel struck down piecesof regulatory legislation that dealt rvith
wages,working hours, and businesscompetition.
Later,the courts alteredcourseand upheld the Social SecurityAct and other New Deal
measures.Peoplewanted the courts to addressnational problems.The Neu' Deal n'as
critical in reshapingfederalismin the United States.
D. Desegregationand the War on Poverty
Mattersof racerelationshavegenerallybeenleft to the states,but in 1954the Supreme
Court ruled that schoolssegregated
bv racewere inherently ungqual.Congresslater
passedthe Civil RightsAct of 1964and the Voting RightsAct of 1965,which provided
voter qualifications.
Lyndon Johnson's
War on Pover['brought about a largeamount of sociallegislation
and increasedthe scopeof the nationalgovernment.Any' time historical circumstances
change,power tendsto shift back and forth betweenstatesand the national government.
Sincethe 1960s,federalismhas changed,and we now havewhat is known as"piclietAP U.S.Government and Politics: 2005-2006\ rorkshop Materials
33
.r,,ocus|in*eiionne r
,$,pe,Ciaf
reaehihs,ACfbsi. rAFi.el*,.l
rl:1tlL:aa:;:..:
fencefederalisrn."
Picket-fencefederalismcrossesgovernmentlines and connectsthe officials rvho work
at differentlevelsof government.National,state,and locai governmentsare no longer
separate,
distinctlayers-they interact.Emphasisis placed on intergovernmental
relations.We look at how one level is connectedto or interdependenton the other levels.
The fenceslatsrepresentinterestsof lobbyists,groupsthat areinside and outsidethe
government.Sincethe 1960s,the federalgovernmenthas given aid to local government
and communit,vgroups.It hasprovided mone,vfor crime control,fire protection,home
insulation,and so on. The resultis that rvehavebecomea hyperpluralistdemo cracy.
Every conceivable
group has an interestgroup.
IV. New, Newetr, Newest
Federalism
A. Nixon's New Federalism: RevenueSharing
Revenuesharinghad two parts:generalrevenuesharingand specialrevenuesharing.
Generalrevenuesharingprovidednew money to be used as stateand local governments
saw fit. There were feu' strings attached.It offered mole flexibility on the state and local
Ieveisin decidinghow the money was to be spent.
Specialrevenuesharing-,vasa plan to consolidateexistingcategoricalgrant programs.
Money availableunder ''uveralcategoricaiprogramsin a particular areawould be
combinedinto one iarge block grant.Congressmendid not iike this becausethey find
little control over these grants.
B. Ronald Reaganand GeorgeH. W. Bush
Reaganwasa strong advocateof states'rights.Categoricalgrantsdecreasedsomewhat.
The amountof federalgrant money that stateand local governmentsreceiveddecreased.
Stateswereexpectedto pick up the cost of programsthe federalgovernmentcreated,
such ashealthcarefor the poor and Medicaid,or eliminatethem.A result of Reagant
cutbackof aid to the stateswas an increasein stateaction to promote social equalif\r
C. Consequences
of New Federalism
Every presidentsinceNixon haspledgedto decrease
the scopeof the federal
government.Stateand local governmentshaveenactedor raisedtaxesto pa1.for public
servicesthat wereonce the sharedresponsibiliwunder cooperativefederalism.
AP U.S.Governmentand Politics:2005-2006\,VorkshopMarerials
V. Contemporary Federalism and Dilernmas of Democracy
When Reaganbecarnepresident,consen'ativesthought that he lvould do au'ay with the
liberal r.t'elfare
stateand end socialand political equalityat the price of freedom.They
thougirtthat stateswould work harder to keep
were for statesrigirts.Conservatives
taxesdor,r'n,r,vouldnot support socialprograms,and u'ould be lesslihely to pass stiff
wanted would lead to
lawsregulatingbusiness.Liberalsthought that what consen'atives
socialand political inequaiity
VI: Federalism
and the Values of Freedom,
Order, and Eguality
u'antedand the liberalsexpected,stateswere willing
Contrary to what the consen'atives
to approvetax increasesfor social programs and education.Statestook on antitrust
legislation,civil rights laws,and affirmative action. Statesare now willing to set higher
standardsthan the fedsto protect weifarepayments and employmentbenefits and to
set reasonableminimum standardsfor product safety.They alsoneed to maintain order
by protecting the lives of citizens.In theseways,the systemof cooperativefederalism
supportsa pluralisticdemocracy.
Follow-Up
Activities
l. Have studentsresearchgrants.Many Web sitesoffer information on [6yz grants woi'k
and their requirernents.As studentsperuseeach grant, havethem identifr whether
the grant is from the federalgovernnent,stategovernment,a corporation, or a
nonprofit. Havestudentssearchfor federalgrants and report back the requirements.
go\.,
Possiblesites: ww'vr'.
grants.gov,wwrnrfedgrants.
wwrr'.sba.gov/expanding/grants.htnrl.
2. Developa grant proposaldealingwith a current issuein your state.The grant should
be for three ys21s.Divide the studentsin the classinto groups,and have eachgroup
"opply" for the grant.The applicationdoesnot haveto be lengthy.\A/heneachgroup
is done,havethem cometo the front, readtheir application,and draw an envelope.
In the enr.elopes,
havethe foilowing scenariosfor the groups'grant applications.
A. Youl grant applicationhasbeenfully funded for threeyears.Good luck.
B. Youl grant r,r'asfully funded for one year,and then Congresscut the funding.
C. Your grant wasnot funded.Please.trl'again.
D. Your grant wasfuliy funded fol threeyears)but the SupremeCourt decidedthat
federal funding of that issueviolatesthe Constitution. Your funding has been
terminated.
E. Your funding wasgranted,but Congresshas divertedyour funding to the war
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effort.Due to this, your funding hasbeenterminated until further notice.
F. Yourfunding was not granted,but the presidenthas decided,along with Congr.ess
that vour statemust implement,yourgrant idea.Your statemust pick up all costs.
Haveeachgroup read the scenarioand discusstheir options.After ever-ygroup has
participated,discussthe ramificationsand the parallelsto feder.alism.
Fleferences
Talking points adaptedfrom:
Janda,Kenneth,JeffrevM.'Berry,and JerryGoldman.The ChallengeoJDemocracy:
Governntentin America.Brief ed.3rd ed.Boston:Houghton Mifflin, 1998.
lVilson,]amesQ., and lohn |. Dilulio, Jr.AmericanGovernment:Institutions and policies.
7th ed.Boston:Houqhton Mifflin, 1998.
Additional
Recommended
Readings
for Students
Broder,David.A RepublicSubverted.
AmericanGovernment:Readingsand Cases.I4th
ed.Ed.by PeterWoll. New York Longman,2002.
Bryce,|ames,and Michaei Kinsley."Does FederalismEncourageGood Government?"
In Point-Cowterpoint:Readingsin AmericanGovernment.4thed. Ed. by Herbert M.
Levine.New York St.Martin'sPress,1992.
Grodzins,Morton. TheFederalSystem.
AmericanGovernment:Readingsand Cases.l4th
ed.Ed.by PeterWoiL New York Longman,2002.
Woll, Peter,ed.McCulloch VersusMaryiand.AmericanGoyernment:Readingsand Cases.
i4th ed.Newlbrh: Longman,2002.
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AP U.S.Government and Politics: 2005-2006 \4rorkshop Materials