Dividing Government Power
Main Idea
The Framers of the Constitution established a federal system that divides powers and
responsibility between the national and state governments.
Reading Focus
• Why did the Framers choose federalism?
• What powers does the national government have?
• What powers do state governments have?
Federalism in Action
Why Federalism?
American federalism was invented in Philadelphia in 1787. When delegates to the
Constitutional Convention met to consider strengthening the national government,
federalism was an obvious choice.
• New nation struggled to function as confederation
• Without power to raise funds, national government not strong enough to deliver
stability or economic unity
• Unitary rule—all power held by strong central authority—out of the question
• Founders suspicious of powerful central government, like British monarchy
• Framers sought to forge republic
• Relied on philosophers who advocated self-rule and limited government—Hobbes,
Rousseau, Smith
Why Federalism {continued}
• 1748: Spirit of the Laws, Baron de Montesquieu
— Dividing power best way to defend people’s freedom from too
powerful
government
— Framers thoroughly absorbed this idea
• Framers faced difficult balancing act
— National government addresses needs of nation
— Preserve states’ rights
— Ensure republican government
• Framers devised plan with authority balanced between nation and states
• Carefully divided power between two levels of government—state, national
— All powers dealing with states’ common interests—national defense,
control over currency—assigned to national government
— All other powers remained with states
National Powers
The Constitution outlined a federal system that would provide strong national government
and protect states’ rights. In the U.S. federal system, some powers belong to the national
government, others are reserved for the states, and still others are shared by both.
Expressed Powers
• Expressed powers: powers granted to national government by Constitution
• Article I, Section 8: expressed powers of legislative branch—power to issue
money, collect taxes, pay debts, regulate trade, declare war, raise and maintain
armed forces
• Expressed powers of other two branches listed in Articles II, III
• Article II gives president power to command armed forces, conduct foreign
relations
• Article III gives judicial branch power to rule on constitutional issues, cases
involving U.S. government, disputes among states
Implied Powers
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Implied powers: not specifically listed but logical extensions of expressed powers
Article I, Section 8:necessary and proper clause
Also referred to as elastic clause; used to stretch powers of Congress
Building highways, regulating food, mechanism for collecting taxes
Inherent Powers
• Inherent powers: historically recognized as naturally belonging to all governments
that conduct business of sovereign nation
• U.S. government has inherent powers simply because it is a national government
• Power not specifically granted by Constitution: power to acquire new territory,
conduct foreign affairs
State Powers
• Constitution has less to say about state powers
• James Madison: national powers “few and defined,” state powers “numerous and
indefinite”
• 1791: Bill of Rights reserved powers clause—”powers not delegated to the United
States…reserved to the States respectively”
• Reserved powers belong to states because they are not delegated to national
government, nor prohibited from states
• Regulate health, public safety, morals, general welfare of state citizens
• Other reserved state powers: ability to regulate marriage, form local governments,
control public school systems, establish and enforce laws
• Power to regulate businesses operating within borders, issue licenses to doctors,
lawyers, barbers, hairdressers
Shared Powers
In addition to their reserved powers, states may also share powers with the national
government. If the Constitution does not specifically state that a power belongs
exclusively to the national government, then the states may exercise that power, too.
• Power to collect taxes is a concurrent power: power held by national government,
state governments at same time
• Both levels of government can establish courts, make and enforce laws, build roads,
provide education, borrow and spend money
• Citizens subject to two levels of authority; must follow state and national laws
• Framers considered situation where national, state laws come into conflict
• Article VI supremacy clause: national laws and treaties form the “supreme law of
the land”
• Judges have to obey Constitution even if it contradicts state laws
The Limits of Power
• U.S. Constitution denies certain powers
to national, state governments
• Framers believed strongly in limited
government
• Placed limits to prevent tyranny and
protect individual liberties
Limits on State Governments
• Article I, Section 10: denies specific
powers to state governments—to coin
money and to tax imports and exports
from other states
• States may not have own armies,
engage in wars, enter into treaties
Limits on National Government
• Article I, Section 9: government cannot
deny right to trial by jury, grant titles of
nobility, tax exports between states
• May not exercise powers reserved to
states or limit basic freedoms
Powers Denied to Both Levels
• Neither can deny people accused of
crimes right to trial by jury or grant
titles of nobility
• Neither can pass ex post facto laws
Nation and State Relations
The Nation and the Fifty States
The Nation and the Fifty States
•Constitution divides government power,
describes responsibilities of national and
state governments to each other
•Article IV, Section 4: national government
only officially recognize representative state
governments
•National government responsible for
protecting states from foreign invasion and
domestic uprisings
•National government responded to
terrorist attack in New York on 9/11
•Constitution ensures states be treated as
equals by national government
•States must have equal representation in
Senate
•Nation cannot tax people of one state more
than another
National government can admit new states, but it cannot split up states that already exist,
or change state boundaries in any way.
Relations between the States
• Constitution gives states right to manage affairs within borders
— Encourages cooperation between states
— States required to extradite persons charged with crime to state where
offense committed
• Article IV: full faith and credit clause
— Requires states give “full faith and credit” to public acts, official records,
judicial proceedings of every other state
— Contract signed in one state honored by officials in another state
• Article IV, Section 2: privileges and immunities clause
• Carefully divided power between two levels of government—state, national
— Citizens of each state receive all “privileges and immunities” of any state
— New Yorker visiting North Carolina will enjoy same police protection as
North
Carolinians
— Many exceptions, including in-state college tuition to residents and lower
fees for services funded by taxes
What about Local Government
• Creating local governments is a power reserved to the states.
• Relationship between state and local government different from that of national
and state governments
• State government has power to reorganize local government at any time to better
address state needs
Native American Sovereignty
• Article I, Section 8: national government has power to regulate commerce with
Indian tribes; used power to make treaties with Native American nations
• In most cases treaties resulted in loss of land, sovereignty, and individual rights for
native peoples
• Native Americans not granted full citizenship until 1924
American Federalism: Conflict and Change
Main Idea
Over the past 200 years, conflicts over the balance of power between the national and
state governments have led to changes in American federalism.
Reading Focus
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What role does the Supreme Court play in American federalism?
How was government power divided in dual federalism?
What events caused the expansion of national power in the twentieth century?
What is new federalism?
Role of the Supreme Court
Long before the Civil War, the Framers anticipated the government they created might lead
to conflicts between the states and the national government. How did they plan to resolve
such conflicts?
• Gave Supreme Court power to resolve conflicts between nation and states
• Article III gives judicial branch authority to hear cases involving Constitution,
U.S. laws, disputes between states
• Supreme Court acts as referee, sorting out conflicts between nation, states
• Courts make decisions based on rules in Constitution
• Article VI includes supremacy clause: Constitution, national laws, treaties made
by national government “supreme law of the land”
• Court’s rulings have gradually increased power of national government
• American federalism continually changed to meet needs of new generations
• Changes understood in four terms: dual federalism, cooperative federalism,
creative federalism, new federalism
Dual Federalism
The first era of American federalism, dual federalism, lasted from about 1789 to the 1930s.
Both state and national government were equal authorities operating within their own
spheres of influence, as defined by a strict reading of the Constitution.
The Great Debate
•Nationalists: advocates of strong, centralized national government
•Proponents of states’ rights held national government should not unduly intrude in state
affairs
•Secretary of Treasury Alexander Hamilton asked Congress to create national bank, argued
government had constitutional power to regulate currency, therefore implied power to create
bank
•Congress refused to renew charter when it expired 20 years later
•1816: dispute resurfaced with charter of Second Bank of the United States
Dual Federalism {continued}
The Marshall Court
• 1819, McCulloch v. Maryland: bank dispute reached Supreme Court
• Court ruled in favor of nation’s authority to start bank
• Chief Justice John Marshall argued charter justified by Constitution’s necessary
and proper clause
• Bank would help nation properly execute powers to regulate commerce and
currency
“A House Divided”
• U.S. became bitterly divided over issue of slavery
• Debate wrapped up in arguments about states’ rights and national power
• Southern slave states resisted national measures to outlaw slavery in new states
and territories
• Held states sovereign, could make decisions for themselves
“A House Divided” (cont’d.)
• Doctrine of nullification: some southern politicians believed states had right to
nullify national laws that contradicted or clashed with state interests
• According to doctrine, if state challenged national law, three-quarters of other states
would have to ratify amendment allowing Congress to enact law
• State could either choose to follow law or secede from Union
• Doctrine of secession: idea that states had right to separate from Union
• 1860: Issue of sovereignty came to a head after election of Abraham Lincoln
• Lincoln believed issue of slavery was divisive
• South Carolina first to secede; followed by 10 other states
• 1861: U.S. divided by Civil War, waged for 4 years; bloodiest war in U.S. history
After the Civil War
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1865: Confederacy surrendered; Union restored
Defeat of Confederacy settled matter of slavery
War profoundly changed relationship between states, national government
War firmly established national supremacy
Put to rest most radical interpretations of state sovereignty
Led to expanded constitutional powers of national government
• 13th, 14th, 15th Amendments (Reconstruction Amendments) passed
• Abolished slavery, defined citizenship, prohibited states from denying citizens’
rights, extended voting rights to African American men
• In time national government would use new constitutional powers to protect rights
of African Americans, women, and others
Landmark Supreme Court Cases McCulloch v. Maryland (1819)
Why It Matters:
In McCulloch v. Maryland the Supreme Court had the first of many opportunities to
influence the division of power in the federal system. The Court’s decision led to the expansion
of national power.
Expanding National Power
The Civil War reinforced the supremacy of the national government over the states.
In the years following the war, new challenges continued to shift the balance of
power in favor of the national government.
Turn-of-the-Century Reforms
•End of 19th to start of 20th century was time of tremendous change in U.S.
•New technology: railroads, telegraph, industrial machinery
•Unprecedented growth: population more than doubled from 1870 to 1916
•Social and economic problems: overcrowded cities, rising crime rates, dangerous working
conditions
•Corporations developed great economic influence at expense of working-class Americans
•Difficult to address problems at state level
Turn-of-the-Century Reforms (cont’d.)
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National government passed legislation to reform social, business
conditions
1887: Interstate Commerce Act regulated the railroad industry
Set restrictions on rates railroads could charge
1890: Sherman Antitrust Act prevented monopolies: exclusive control of a good or
service in a particular market
Encourage fair competition in all industries
Early 1900s: used to break up large monopolies such as American Tobacco
• New laws expanded national government’s power to regulate business
• Court cases limited reach of national power
• 1895, United States v. E. C. Knight Company: sugar refining companies operated
locally, could not be regulated by national government
The New Deal
• 1929, stock market crashed, led to
Great Depression
• Poverty and unemployment
widespread
• Local organizations unable to respond
adequately
• 1933: President Franklin D. Roosevelt
introduced New Deal
• Series of national programs to address
needs of Americans
• Some assisted unemployed, elderly
• Others provided jobs
• Major change in role of national
government
• National and state governments
worked together to meet crisis
• Federalism under New Deal known as
cooperative federalism
• Major shift caused court challenges
• Opponents argued constitutional
powers to tax and regulate commerce
did not give power to enact many
New Deal programs
• Supreme Court upheld most New
Deal legislation
The Great Society
• 1960s: President Lyndon Johnson
expanded powers of national
government
• Great Society program: initiatives
aimed at eliminating poverty and
social inequity
• Creative federalism: released federal
funds to states to achieve national
goals
• 1965: Medicaid provides free health
care for poor
• If national government determines
states not fully cooperating, funding
withheld
• Threat of losing money powerful tool
• Grant system increased size, cost of
national government
• Urban renewal grants increased from
$212 million (1964) to more than $1
billion (1970)
New Federalism
Throughout much of U.S. history, the powers of the national government expanded.
Beginning in the 1980s, many political leaders worked to reverse this trend by returning
authority to state governments. This era is known as new federalism.
The Reagan Years
• 1980s: President Ronald Reagan
supported returning power to the
states
• Believed national government less
effective than state governments in
providing services to people
• Reagan worked to reduce size of
government by cutting national grant
money to states
The Devolution Revolution
• 1994 elections: Contract with
America—Republican campaign
promise to achieve specific goals
• Central idea: devolution—returning
power to states
• Reduce size and power of national
government by eliminating costly
federal programs
Expressed Powers
Powers granted to the national
government by the Constitution
Implied Powers
Powers that are not specifically listed
in the Constitution but are logical
extensions of expressed powers
Inherent Powers
Powers that historically have been
recognized as naturally belonging to
all governments that conduct the
business of a sovereign nation
Reserved Powers
Powers that belong to the states
because the Constitution neither
delegates these powers to the national
government nor prohibits them to the
states
Concurrent Powers
Powers held by the national
government and the state
governments at the same time
Full Faith and Credit Clause
Article IV of the Constitution, which
requires that states give “full faith
and credit” to the public acts, official
records, and judicial proceedings of
every other state
Vocabulary
Dual Federalism
A system of federalism in which both
state and national governments were
equal authorities operating within
their own spheres of influence, as
defined by a strict reading of the
Constitution
Doctrine of Nullification
The idea that states had the right to
cancel national laws that they believed
contradicted or clashed with state
interests
Doctrine of Secession
The idea that states had the right to
separate themselves from the Union