Chapter 4
Federalism
3 types of governments
Different Systems of
Government
• Unitary System
– Form of government in which the highest
level of government has the power to
control and even dissolve lower
government.
• Confederation
– Loose grouping of independent political
units whose main purpose is to govern the
relationship between those units.
Different Systems of
Government
• Federalism
– Form of government that distributes
power across a national government and
sub national governments
– In federalism, both the state and the
national government are sovereign
• Sovereignty
– Ultimate authority to make decisions
within one’s borders.
Arguments in Favor of
Federalism
• Protecting Liberty
• Moderating the Power of Government
• Strengthening the Union
National Government
Powers
• The Supremacy Clause
– Article VI of the Constitution which makes
national law supreme over state law when
the national government is acting within
its constitutional limits.
National Government
Powers
• Enumerated Powers
– “Written Powers”
– The specifically listed duties that the US
Constitution assigns to the Congress
– Found in Article I Section 8
National Government
Powers
• Commerce Clause
– An enumerated power that gives Congress
the power to regulate commerce with
other countries, among the states, and
with Indian Tribes.
National Government
Powers
• Implied Powers
– Functions and actions that Congress could
perform in order to exercise its
enumerated powers
– Based on the “Necessary and Proper
Clause”
National Government
Powers
• Necessary and Proper Clause
– Provision of the Constitution that gives
Congress the authority to make the laws
needed to carry out the specific duties
assigned to Congress by the Constitution.
– “To make all Laws which shall be
necessary and proper for carrying into
execution the foregoing Powers…”
National Government
Powers
• Inherent Powers
– Powers that derive from the fact that the
Untied States is a sovereign power among
nations, and so the national government
must be the only government to deal with
these nations.
Powers of State Government
• Reserved Powers
– Tenth amendment guarantee to state
governments of any powers other than
those granted to the national government
or those prohibited to the state.
• Police Power
- (Mostly) Reserved power concerned with
the safety, health, welfare and morality
of the people
Shared Powers
• Concurrent Powers
– Those powers held jointly by both the
states and the federal government
– Include:
• Taxing
• Borrowing
• Chartering Banks
• (limited) Police Power
Denied Powers
• Prohibited Powers
– Things a level of government cannot do.
– Both national and state have things
prohibited to them
• National government may not tax exports
• State government may not coin money
History of Federalism
• The Marshall Court
– John Marshall – 1st Chief Justice of the
Supreme Court
– 1801 – 1835
– Marshall advocated for a Strong Central
Government.
History of Federalism
• McCulloch v. Maryland (1819)
– Marshall held that if establishing a
national bank aided the national
government in the exercise of its
designated powers, then the authority to
set up such a bank could be implied.
– Further, Marshall held that no state could
use its taxing power to tax an arm of the
national government. (in this case, the
bank)
History of Federalism
• Chief Justice Roger Taney
– Favored a shift towards state’s rights
• Dred Scott (1857)
– The Taney Court ruled that Africans were
barred from citizenship and thereby could
not sue for freedom in federal court.
Further, slaves were property not people.
Finally, invalidated the Missouri
Compromise.
Civil War Period
• South desired more States’ Rights
• War actually increased the power of
the federal government
– First Billion Dollar Federal Budget (1865)
– First income tax imposed to help pay for
war debts.
Post War Federalism
• Dual Federalism
– Form of federalism in which national and
state governments have distinct areas of
authority and power
– Also called “Layer Cake Federalism”
Great Depression
• Great Depression
– Brought about a sense of urgency to the
country
– Dual Federalism and the separate spheres
became less important as the economy
became the greatest concern.
Great Depression
• Great Depression had destroyed the
economy
–
–
–
–
Over 5000 failed banks
Over 32000 closed businesses
Almost 25% unemployment
Federal government had done little to
step in
• Election of Roosevelt
– 1933
– Decided to intervene in the economy
The “New Deal”
• Roosevelt’s plan to bring the country
out of the depression.
• Included the government stepping into
the state sphere
New Deal
• Example New Deal Programs
–
–
–
–
–
TVA
FDIC
Social Security Act
Fair Labor Standards Act of 1938
SEC
Paradigm Shift
• The New Deal saw federal government
stepping into places it never before
had power, often working together
with the states in programs.
• Cooperative Federalism
- Form of federalism in which the
national and state governments share
many functions and authority
- “Marble Cake Federalism”
Everyone loves cake!
Modern Federalism
• Fiscal Federalism
– Modern Federalism in action, hinging upon
a transfer of money from federal to state
level
– Can be used as a way for the national
government to “encourage” the states to
start or stop a particular course of action.
Fiscal Federalism
• Categorical Grant
– Funds provided by the federal government
to a state or local government for a
specific, defined, purpose.
• Block Grant
– Funds provided by the federal government
to a state of local government in general
support of a broad government function
• Criminal Justice
• Mental Health
• Etc
Mandates
• Mandate
– An order from the federal government
that requires state governments to take a
certain action.
• Unfunded Mandate
– A law requiring certain actions without
appropriating the necessary funds to carry
them out.
A Shift Back to the States
• Devolution
– A transfer of authority over a government
program from a high level (national)
government to a low level (state)
government
– United States v. Lopez (1995)
Issues in Federalism
• No Child Left Behind
Issues in Federalism
• National Drinking Minimum Age Act and
the Federal Aid Highway Act
Issues in Federalism
• Medical Marijuana
Issues in Federalism
• Hurricane Katrina
Issues in Federalism
• Defense of Marriage Act