Federalism – Forging a Nation
Constitutional Underpinnings
AP U.S. Government and Politics
Federalism: National and State Sovereignty
• Federalism – Governmental system where authority
is divided between two sovereign levels of
government: national and regional.
– The framers divided sovereignty (the supreme authority
to govern) between national and state governments.
Other Options
– In 1787, other nations were governed by a unitary
system.
• Unitary system – National government alone has ultimate
authority.
– A confederacy existed in the U.S. under the Articles.
• Confederacy – sovereignty is vested in the state governments.
Why Federalism?
• Framers felt federalism would correct defects in
Articles of Confederation.
– Framers felt federalism would protect liberty.
– Part of checks and balances; national and state
governments would keep each other in check.
– Constitution wouldn’t have been ratified without it.
• Preserved state traditions while establishing strong national
government.
– Framers felt that shared Power = Limited government
– Citizens could have access to all levels of government.
Constitutional Basis for Federalism
• The Constitution sets out different types of powers.
– Article I, Section 8 of the Constitution grants the national
government enumerated (expressed) powers.
• 17 powers granted; including taxation, regulation of commerce, and
authority to provide national defense.
• Article VI of Constitution is known as the Supremacy Clause, stating
that national law is supreme over state law.
– The federal government also has implied powers.
• Granted through “necessary and proper” or elastic clause, gives
national government powers not listed in the Constitution but are
related to the actions that are listed.
• Impossible to predict all powers Congress will need to function,
sometimes we might have to allow Congress extra powers to fulfill
their delegated powers.
Other Powers
• States get their powers, known as reserved powers,
through the Tenth Amendment.
• Powers not delegated to national government are reserved to the
states.
• Concurrent Powers – powers shared by national
and state governments.
• Inherent Powers – not listed in Constitution, but
grow out of existence of national government.
• ex. The U.S. can acquire territory by expansion.
• Prohibited Powers – powers denied from both
national and state governments.
• ex. Governments can’t tax exports, no bill of attainder, no ex
post facto laws.
• The Constitution also governs relations between
states (Article IV).
• The full faith and credit clause ensures that judicial decrees
and contracts made in one state will be binding in any other
state.
• The privileges and immunities clause guarantees citizens of
each state are afforded the same rights as citizens of all other
states.
Historical view of Federalism
• Key issue during first era of America’s history (17891865) was the Union’s survival.
– Early Supreme Court decisions increased national
government influence.
• McCulloch v. Maryland (1819) – Chief Justice John Marshall
ruled the states didn’t have power to tax national government.
– “Necessary and Proper Clause” – national government’s power extends
past those granted in Constitution.
• Gibbons v. Ogden (1824) – Congress’ commerce power
overrides any and all conflicting state law.
– Marshall ruled “Necessary and Proper” clause and
commerce clause were broad grants of national power.
– Dred Scott (1857) decision ruled that slaves were
property, not people.
• Since the Constitution forbid Congress to deny property rights,
Congress did not have the authority to outlaw slavery in any
part of U.S.
– Invalidated the Missouri Compromise.
– Following the Civil War, dual federalism dominated
American politics.
• Dual federalism was based on the idea that a precise
separation of national and state authority was possible and
desirable.
– “The power which one possesses, the other does not.”
• 14th Amendment granted citizenship to any person born in the
U.S. (slaves) and ruled that states may not deny citizens equal
protection of the law.
Dual Federalism (1860s-1930s)
• Marked by sharp line between national and state
authority.
– Era of dual federalism features state supremacy in racial
policy and business supremacy in commerce policy.
• Plessy v. Ferguson (1896) – Supreme Court sanctioned
government based segregation in the South.
• Supreme Court also narrowly interpreted the national
government’s commerce power.
– “Layer Cake Federalism” – the powers of national and
state gov’ts are layers on a cake. Each is supreme in its
own layer.
Cooperative Federalism (1937-1980)
• The 16th and 17th amendments helped change the
relationship between state and national government.
– New Deal policies forced all levels of government.
– After the New Deal, the relationship between state and
national government was based on cooperative federalism.
• Cooperative Federalism – also called “marble cake
federalism.”
– National, state, and local levels of government work together
to solve problems.
– National government involvement in traditional state areas
led to diminished state-to-state policy differences.
Dual “Layer Cake” Federalism
• Based on a clear separation
of authority between
national, state, and local
governments.
Cooperative “Marble Cake” Federalism
• Based on a mixture of authority and
government programs between
national, state, and local levels.
Originally, the Supreme Court opposed many of Roosevelt’s New Deal programs.
Roosevelt looked to appoint more court justices who would approve his New Deal
Policies. This was met with great opposition. In the end, Justice Owen Roberts
changed his stance, giving Roosevelt a 5-4 majority and putting New Deal programs
into effect.
Fiscal Federalism
• The National Government’s revenue-raising
advantage has made money a basis for the relations
between national and state governments.
– Fiscal federalism – the expenditure of federal funds on
programs run in part through state or local governments.
– The national government provided some or all of the
money through grants-in-aid (cash payments).
• States and local governments must spend grant-in-aid money
as specified by Congress.
• State and local governments receive two major types of
assistance – categorical grants and block grants.
– Categorical grants, the more restrictive, can be used
only for designated activity.
• ex. School lunch programs
– Block grants allow state and local officials to decide how
the money will be spent within a general area.
• State and local officials prefer block grants.
• Recently, officials at all levels have favored block grants.
– Over the last several decades, there has been a push for
devolution, the passing of authority from the national
government to state and local governments.
Devolution
• After the 1960s, public support for federal spending
declined.
– “New Federalism”, an idea proposed by Republican
Presidents Richard Nixon and Ronald Reagan gave more
control to states.
• Reagan wanted to keep national influence affecting states to a
minimum.
• Republicans reduced unfunded mandates, federal programs that
require action by states but provide no funding.
• The Supreme Court’s position on federalism also
changed.
• U.S. v. Lopez (1995) – Supreme Court ruled that Congress lacked
Constitutional authority under the commerce clause to regulate
guns within 1,000 feet of a school.
• Gun control laws were a state, not national matter.
Modern Federalism
• Although there has been a shift in public policy and
power to the states, this didn’t completely change
American federalism.
– Federal grants-in-aid continue to flow from Washington
to the states, shaping many of their activities.
– In the last 15 years, the devolution movement has
slowed.
• Recent economic crisis shifted power from business sector to
Washington.
– Nationalization, or increasing national authority, has
been the long-term trend in American federalism.
Public Influence on Federalism
• As Americans’ attitudes toward federal and state
governments change, so does federalism.
– New Deal, LBJ’s Great Society – based on increased
national involvement.
– “New Federalism” contributed to devolution revolution.
• Disruptive events have typically had a large effect
on American Federalism.