Federalism - Definition
Rejected a unitary and rejected a
confederation…
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Constitutional Power of
Federalism
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National has specified powers
The State and People have all other
powers
National and State share some powers
The concept of Federalism has changed
in America however the definition
remains…
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Federal System or Federalism
3
Does Federalism still exist? An even
bigger ? Do we want it to exist?
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Why Federalism?
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1.
2.
3.
4.
5.
6.
7.
Advantages
Diversity
Minimizes conflict
Opportunity for
response
Dispersal of power
Political participation
Innovation and
experimentation
flexibility

1.
2.
3.
Disadvantages
Allows regions to
protect self-interest
Poor versus
wealthy – ability to
provide services
Inequality of
programs
5
National Powers - Delegated
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Delegated/expressed/enumerated
Directly stated in the Constitution –
examples: levy and collect taxes, coin
money, declare war, army and navy,
regulate interstate trade, regulate
foreign trade, etc.
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National Powers - Implied
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Implied/Necessary and Proper/Elastic
Those required to carry out the
Constitution
Not specifically listed
Examples: the draft, regulation of the
nuclear power plants, space program,
national bank, etc.
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National Powers - Inherent
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Just because it is the government
Examples: control of immigration,
diplomatic relations, etc.
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State Powers
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Reserved Powers
Not listed
10th Amendment – “not delegated to the U.S.,
not prohibited to the states, a power of the
states
Examples: regulate intrastate trade, establish
local governments, administer elections,
protect public health and welfare and morals
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Supremacy Clause…
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Acts and treaties of the U.S. are
supreme
No state law or constitution may conflict
and can not interfere with the
Constitution
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McCulloch vs. Maryland (1819)
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1)
2)
2nd Bank of the United States
Maryland imposed a state tax on the
National bank
Rulings/Decisions
Natl. Bank – constitutional – based on
necessary and proper clause
State tax – unconstitutional – a. The power
to tax is the power to destroy – b. the
national bank has money from a national
“source” therefore tax would be against all
but benefit a few
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Gibbons vs. Ogden (1824)
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Congress has the power to regulate
commerce…between several states
License to operate steam boats in water
between NY and NJ ---Ogden – state
license and Gibbons – national licenses
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Concurrent Powers
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Shared – both National and State
Each level exercises these powers
independently
Examples: taxing, courts, definition of
crimes, appropriation of private
property for public use
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Denied Powers
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CAN NOT
National – tax exports, interfere with states to carry
out their responsibilities, granting titles of nobility,
bills of attainders, deny habeas corpus, pass ex post
facto laws
States – make treaties or alliances, coin money,
impair contracts, titles of nobility, bills of attainders,
ex post facto laws, deny habeas corpus
Belief in popular sovereignty=Bill of Rights – denied
powers to eventually both National and States (14th
amendment and incorporation)
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State Obligations to the Nation
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Conduct and pay for elections
Amendment process (ratification)
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National Guarantees to the
States
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Republican from of government
Protection
Territorial Integrity
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Admission of New States
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Congress admits
Restrictions – can not take from existing
state and subjected to Presidential veto
Procedure: enabling act, draft and
approve constitution (popular
sovereignty), submitted to Congress,
Admitting Act, Presidential approval
Once admitted = to all other states
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Interstate Relations – Article
IV
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Full Faith and Credit
Privileges and Immunities
Extradition
Interstate Compacts
Lawsuits between states – U.S.
Supreme Court Jurisdiction
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Changes in the definition of
Federalism
How many different ways can you
say Federalism? Which
Federalism tastes better…Layercake or Marble-cake?
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Generally
speaking…Federalism is…
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A division of power between two
distinctive governments, each with their
own spheres of influence
National = broader issues
State = direct impact on daily life
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Federalism is…
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Auxiliary Precaution Against Tyranny
Federalist no.10 – federal system
designed to consist of national
government limited to areas of common
concern, while the power to make
particular policy would remain with the
states 21
I want a …
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1)
2)
3)
4)
Strong National…
I am a Centralist.
State/local able to
deal with major
Advocate sectional
issues
Extensive tax base
Prevents elitism
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1)
2)
3)
Strong State…
I am a Decentralist
More sensitive to
needs
Better ability to
support public policy
with their tax base
National becomes too
demanding
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Centralist v. Decentralist
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Centralist
Lincoln
FDR
Johnson
Courts between
1937 and 1970s
Marble Cake
Federalism
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Decentralist
Nixon
Reagan
Rehniquist Court
New Federalism
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History of Federalism…
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Dual Federalism
Layer Cake Federalism
Cooperative Federalism
Marble Cake Federalism
Creative Federalism
Competitive Federalism
New Federalism
Fiscal Federalism
Regulatory Federalism
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Dual Federalism 1787 - 1860

Each with their own sphere of influence
and the Supreme Court acts as the
umpire
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Layer-Cake Federalism – 1860
- 1930
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National Supremacy – Each still had
their own powers however the National
had pushed their supremacy in terms of
the Civil War and Reconstruction – each
exercising power independently with
federal government exerting more
influence
Courts still tended to side with the
states
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Marble Cake Federalism –
1930s – to present day
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New Deal Era – FDR, Truman, EisenhowerNew Deal programs (relief and recovery)
Levels or layers of government being
interlaced or intrusive
Growth of bureaucracy, regulations, and
spending
Solutions for state and local problems were
directed and funded by national government
and administered by the states
Often at the expense of state power
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Cooperative Federalism
(Marble-Cake) 1930s
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Various levels of a single government
characterized more by cooperation and
shared functions than by conflict
Responsibilities and powers
intermingled and blurred
All are apart of the bigger
Where does the federal responsibility
end and the states begin?
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Creative Federalism – (Marble
Cake) 1960s
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Lyndon Johnson’s Great Society
Federal Programs = Social Welfare System
National would work with states/local to
create/provide social services
Poverty, equality, urban crisis
through direct aid…Social equality
National spending almost tripled – growth of
bureaucracy, states began tailoring to the
national rather than their own needs
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Competitive Federalism –
1970s
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States having to compete for the
federal funding
decentralizing
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New Federalism – 1970s to
present
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Idea of decentralizing
Returning power to the states – return of fiscal power
to the states
77 categorical grants = 9 block grants
Offering states pieces but have them accept with
conditions and promises to develop their own
programs
1994 categorical grants were converted into block
grants…more flexibility in how to spend…
If federal money then you must…
US vs. Lopez…National can not set a law banning
guns within a school zone…this is a state power…
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Fiscal Federalism
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Money ------- funding
Grants, mandates, revenue sharing
Supply money usually with standards or
requirements ---implement policies with
federal guidelines
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Regulatory Federalism
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Regulatory laws
Example: Clean air and water act – national
goals that must be carried out by the states
Paperwork and bureaucracy
Civil Rights Act, Highway Beautification Act,
Occupational Safety and Health Act, 55 speed
limit, drinking age, .08 blood alcohol, etc.
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Carrot and the stick…
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Rewards
Punishment
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Types of Grants and mandates
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Categorical Formula – legislative
formula – you meet you get – Medicaid,
schools, hospitals – 90% of all grants
Project – specific purpose, fixed time –
research, science, etc.
Block grants – flexible, broad,
prescribed activities, few strings –
welfare reform – consolidation – New
Federalism
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Mandates
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Requirements or uniform orders
Sometimes with $$$ and sometimes
unfunded…
Regulatory federalism
Direct orders
States must do…if not reward and/or
penalty
Increase state and local budgets
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Continue mandates…
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Civil Rights Act
OSHA
Endangered Species Act
Americans with Disabilities
EPA (auto testing)
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Revenue Sharing
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Did not last long
1970 – 1982
States could use at their discretion –
very general
= high budget deficits
Often the states used for general
operations
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Techniques
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Direct orders – comply or sanctions (EEOC)
Cross-Cutting Requirements – conditions on
one for all (Civil Rights Act)
Crossover Sanctions – money influence
(Drinking Age)
Total Preemption – Supremacy – Voting
Rights Act of 1965
Partial Preemption – state administer but
national will step in – (Clean Air Act)
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Spending…
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1960
43% Transportation
7% Education,
Social Services,
employment
38% income
security
3% Health
9% other
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1998
11% Transportation
42% Health - Medicaid
14% Education,
Employment, Social
Services
24% Income Security
8.5% other
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Federal Dilemma…
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How to reduce spending but maintain
assistance?
$$$$ + Requirements
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Devolution Revolution
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Shift in policy to more state power –
returning responsibility to the states
New Federalism
Arguments can be made that it has
occurred and arguments can be made
that it has not happened…
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Has there been a devolution
revolution?
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Yes
Moving away from
entitlements
Contract with America –
Welfare Reform Act
State speed limits
End of unfunded
mandates
Clinton – “end of big
government”
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No
Federal penalities
for crimes like
carjacking
Food safety
standards
911 control
Education standards
Gun control – Brady
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Bill
Rehniquist Court
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US v. Lopez – overturned – banning guns
near a school = state
Printz v. US – Brady Bill and forcing local law
enforcement to complete background
checks= this mandate violated the
sovereignty of the states/local
South Dakota v. Dole= unconstitutional for
National to control drinking age – however,
indirect method was OK (loss of federal
highway $$ if drinking age not raised)
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More court cases…
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National League of Cities v. Usery –
federal minimum wage and maximum
hours could not be forced on local
governments
Casey v. Planned Parenthood – states
may pass law restricting rights of
women to have abortions
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Power of the national
government has increased…
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Large society with complex needs…
Taxing power of the federal government =
use the $ for general welfare
Commerce Clause
Great Depression and Great Society
Foreign policy
Nuclear Age
Party politics
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