Chapter 3
Federalism
Federalism in the Constitution
The word federalism is absent from the Constitution!!
AND YET it is explained in DETAIL:
1. Guarantees states equal representation in the Senate
2. Makes states responsible for both state and national
elections
3. Virtually guarantees the continuation of each state
4. National government is required to protect states
against violence and invasion
5. Supremacy Clause (Article VI)
6. Judges in every state are specifically told to obey the
US Constitution even if their state constitutions or
state laws directly contracts it
7. Reserved Powers (10th Amendment)
Exclusive powers of United States
Federal Government
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To regulate commerce between states and
international trade
To coin money and regulate the value thereof
To declare war
To establish an army and navy
To enter into treaties with foreign governments
To establish post offices and issue postage
To make laws necessary to enforce the
Constitution
Exclusive powers of state
governments
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To regulate intrastate commerce
To conduct elections
To ratify amendments to the U.S.
Constitution
To exercise powers neither delegated to
the national government nor prohibited
from the states by the Constitution (as per
Amendment X)
States Obligations to Each other
Article IV of the Constitution
1. Full Faith and Credit (Article IV) requires states
to give credit to public acts, records, and civil
judicial proceedings of every other state
2. Extradition almost all criminal law is state law;
states are required to return a person charged
with a crime in another state to that state for trial
or imprisonment
3. Privileges and Immunities prohibits states from
discriminating against citizens of other states
(exceptions are college tuition, state elections)
Powers of the Government
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Inherent: automatic; a right of a country (border
control, naturalization rules)
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Enumerated: LISTED in Constitution (Article I:
Section 8)
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Reserved: To the states (Amendment 10)
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Implied: Congress can do what is “necessary and
proper” (Article 1: Section 8, #18: elastic clause)
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Denied: What states cannot do
How is federalism is addressed in
America’s History?
Over time, federalism has evolved. It
used to be that the USA practiced
DUAL federalism….today it is more
COOPERATIVE federalism
Let’s see how it has evolved…
Dual Federalism
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Clearly defined terms
with states (regional
governments)
exercising those
powers accorded to
them without
interference from the
national government
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This system of dual
federalism in the
United States is a
product of the
backlash against the
Articles of
Confederation, when
the states had TOO
much power but there
was still grave
concern about the
nation’s power (think
Parliament/King)
Implied Powers
(Article 1 Section 8: clause 18)
-- McCulloch V. Maryland, 1819
http://www.oyez.org/cases/1792-1850/1819/1819_0/
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Supremacy of the national government over states
National government has certain implied powers that go
beyond its enumerated powers
Congress has the power to “make all laws necessary and
proper for carrying into execution the foregoing powers”
Necessary and proper clause is like a rubber band
(flexible—elastic clause)
I.e. Regulate food and drugs, build interstate highways,
protect consumers, clean up dirty air and water, etc.
Commerce Power: (Article I Section 8)
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Congress regulates interstate and
international commerce
Gibbons V. Ogden defines commerce
very broadly to encompass virtually every
form of commercial activity
http://www.oyez.org/cases/17921850/1824/1824_0
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U.S. V. Lopez restricts interstate
commerce for US government
http://www.oyez.org/cases/19901999/1994/1994_93_1260/
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All implications for federalism
Civil War:
What is about slavery or federalism?
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1861-1865
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Settled federalism and
settled slavery
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Struggle between
states and national
government
COOPERATIVE Federalism
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Cooperative federalism refers to a concept in which the
state governments, local governments, and the federal
government share responsibility in the governance of
the people.
They cooperate in working out details concerning which
level of government takes responsibility for particular
areas and creating policy in that area.
The concept of cooperative federalism put forward the
view that the national and state governments are
partners in the exercise of governmental authority. It is
also referred to as the new federalism.
Struggle for Racial Equality
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Brown V. Board of Education, Topeka, Kansas
Supreme Court held that school segregation was
unconstitutional
Conflict between states and national government
over equality issues was decided in favor of the
national government
National standards for racial equality prevailed
Cooperative Federalism at work
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1958 Congress passed the National Defense Education
Act
Blurred federalism by supporting public elementary and
secondary education
Before this, states controlled education
1965 Elementary and Secondary Education Act gave
federal aid to numerous schools
Standard operating procedures:
1. Shared costs
2. Federal guidelines
3. Shared administration
Fiscal Federalism
Pattern of spending, taxing, and providing grants in the
federal system
 Grants-in-aid, federal funds appropriated by Congress for
distribution to state and local governments are the main
instrument the national government uses for both aiding and
influencing states and localities
 The Grant system-distributing the federal pie
 You should know the following types of grants:
CONTENT VOCAB
--Categorical Grants
--Formula Grants
--Mandates
--Block Grants
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The Scramble for Federal $
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$350 million in federal grants dispersed a year to states and
localities
Mandates: requirements that direct states or local
governments to comply with federal rules under threat of
penalties or as a condition or receipt of a federal grant
Problems with mandates: Problems occur when Congress
passes a law creating financial obligations for the states but
provides no funds to meet those obligations
Examples: Americans with Disabilities Act, Clean Air Act,
Bush’s Education plan: No Child Left Behind Act (NCLB),
Obama’s Education plan: Race to the Top (RTTT)
Federalism and Democracy
Advantages
 More participation in
politics
 Increases access to
government
Disadvantages
 States differ in
resources they can
devote to services like
public education
 The sheer number of
governments can be a
burden
 87,000 governments
in the USA due to
federalism