FEDERALISM
The Structure of Our Government
FEDERALISM
 Definition- A political system in which two or
more governments have sovereignty
(authority) over the same area and people.
 This government form is established in the
US Constitution.
 The federal government is granted powers,
the state is given powers, they share
powers, and they are prohibited powers.
 Other nations that choose federalism include
India, Canada, Germany & Australia.
Why Federalism?
 1) Checks the growth of tyranny- does
not allow one level to have too much
power & prohibits the gov’t from doing
certain things.
 2) Allows for experimentation
 3) Increases political activity
Alternatives to Federalism
 Unitary government- all power rests
with the federal government.
 Unitary- France, Italy, Great Britain
 Confederation- loose association of
independent states.
 Examples: UAE, Switzerland, USA
(pre- Constitution)
Constitutional Basis of
Federalism
 The word federalism is not mentioned
in the Constitution.
 The founders carefully defined the
powers of state and national
governments.
 Although the federal government was
favored, states were retained as vital
components of government.
Types of Federalism
 Dual Federalism- both governments
are sovereign within their own sphere.
 Also known as layer cake federalism.
 Cooperative Federalism- Various levels
of government work together to deliver
public services.
 Also called marble cake federalism.
Dual vs Cooperative
 Dual is favored by the states.
 Cooperative is favored by the federal
government.
 We have moved from a system of dual
federalism to one that is predominately
one that favors cooperative federalism.
Supremacy Clause
 This clause deals with which gov’t should
prevail in disputes between the states and
the national government; Article VI states
that three items are the “supreme law of the
land.”
 1. The Constitution
 2. Laws of the national government (when
consistent with the Constitution)
 3. Treaties (which can only be made by the
national government.
Who is Supreme?
The national gov’t can only operate within its
appropriate sphere and cannot usurp states’
powers.
The 10th Amendment states that “powers not
delegated to the US by the Constitution, nor
prohibited by it to the states, are reserved to
the states respectively, or to the people.”
There have been many variations in the
Supreme Court’s interpretations of the 10th
Amendment.
National Supremacy
 Three key events have largely settled
the issue of how national and state
powers are related:
 1) the McCulloch v. Maryland case
 2) the Supreme Court’s interpretation
of the Commerce clause
 3) the civil rights movement
McCulloch v.Maryland(1819)
 Initial case in which the issue of state versus
national power came before the Supreme
Court.
 Ruling:
 1) Established the meaning of the
Supremacy clause: National policies take
precedence over state policies. “The United
States government is supreme within its
sphere of action.”
McCulloch v Maryland (1819)
 2) Established the meaning of the “elastic
clause (or necessary and proper clause):
Congress has implied powers to “make all
laws necessary & proper for carrying into
execution the foregoing powers.”
 This clause is located in Article I of the US
Constitution.
Commerce Clause
A clause located in Article I of the Constitution.
Allows Congress to regulate interstate
commerce.
First interpreted by the Supreme Court in
Gibbons v Ogden (1824), in a broad decision
that allowed Congress (nat’l gov’t) to have
power over all economic activity.
Civil Rights Movement
 This help settle the argument over
equality between the federal & state
governments.
 Most decisions came down in favor of
the federal government during the
1960s allowing it to end segregation in
schools, housing, public
accommodations, voting & jobs.
ARTICLE IV
 Article IV of the US Constitution deals
with the relationships between the
states.
 There are certain obligations that each
state has to every other state.
 Also called “horizontal federalism”
Horizontal Federalism
 Full Faith & Credit- states are required to
give full faith & credit to the public acts,
records, and civil judicial proceedings of
every other state.
 Extradition- states are required to return a
person charged with a crime in another state
to that state for trial or imprisonment.
 Privileges & immunities- citizens of each
state receive all the priv & imun of any other
state I which they happen to be.
NULLIFICATION
 States have the right to declare null
and void a federal law that they believe
violated the Constitution.
 Madison, Jefferson & John Calhoun
authored this law.
 Decided after the Civil War; the federal
union was indissoluble and states
cannot nullify federal law.
Protections for states in the
Constitution
 No state can be divided without its
consent.
 Two Senators for every state.
 Every state assured of a republican
form of government.
 Powers not granted to Congress are
reserved to the states.
States’ Constitution
 States’ constitutions may provide for direct
democracy.
 1) Initiative
 2) Referendum
 3) Recall
 Cities, towns, and counties have no such
protections. They exist at the pleasure of
the state government.
Federal-State Relations
 Grants-in-aid are the main instrument
the national government uses for both
aiding and influencing states &
localities.
 Began before Constitution with land
and cash grants to states.
Purpose of grants
 1) Supply states and local
government with revenue.
 2) Established minimum national
national standards. (Air,
highways)
 3) Equalize resources among
states.
 4) Attack national problems
without creating new agencies.
Types of Grants
 Categorical grants (the main source of
federal aid) - grants that can be used only for
specific purposes, or categories.
 A) States/local agencies can obtain
categorical grants only by applying for them
and by meeting certain qualifications.
 B) Categorical grants come with numerous
“strings” attached that reduce or deny funds
if certain laws/guidelines are not met.
 Condition of aid- must be met to receive $$
Categorical Grants
 There are two types of categorical grants:
 1) project- most common type; awarded on
basis of competitive applications.
 2) formula- states/local governments receive
funds based on a formula developed by such
factors as population, per capita income, etc.
 Examples include Medicare & public housing
Block Grants
 These are used to support broad
programs in areas like community
development & social services.
 Created in response to the restrictive
federal requirements imposed by
categorical grants.
 States have more discretion when
spending the money.
 Favored by Republicans
The Flow of Federal Funds
(Grants)
 1930s-1960s - federal gov’t had a lot of
money, so grants were easy to attain.
 1960s- Shift from what the states
demanded to what federal officials
considered important as national
needs.
Intergovernmental Lobby
 State/local governments had become
dependent on federal funds.
 These governments sent hundreds of
officials to lobby for $$ in Washington.
 They tried to get federal $$ with fewer
strings.
The Slowdown in Free Money
 Post 1960s- Block grants started to
grow slower due to political coalitions,
who preferred categorical grants that
ensured these groups receive funds.
 Categorical grants are essential to
state agencies, without them $$ could
be diverted elsewhere.
Rivalry amongst states
 Due to the tougher restrictions:
 1)Competition increased between
states for federal funds.
 2)Frostbelt vs. Sunbelt
 3)Monies given to states were a direct
result of the census, which increased in
importance.
Federal Aid & Control
 Mandates- federal rules that states or
localities must obey
 1) civil rights (American w/ Disabilities Act)
 2) environmental protection (Clean Air Act)
 These are difficult to employ & costly.
 Unfunded mandates are the most unpopular
with the states.
 Some mandates arise from court decisions
(i.e. school desegregation).
Devolution Revolution
 Return management of grants to the
states with an emphasis on block
grants.
 Republican favor state governments
and distrust the federal government.
 10th amendment vs. elastic clause