The Roots of the Federal System
The Framers worked to create a political
system that was halfway between the failed
confederation of the Articles of Confederation
and the tyrannical unitary system of Great
Britain.
The three major arguments for federalism are:
1. the prevention of tyranny;
2. the provision for increased participation in politics;
3. and the use of the states as testing grounds or
laboratories for new policies and programs.
Federalism Defined
Federalism is a political
system in which power
is divided and shared
between the
national/central
government and the
states
(in order to limit the
power of government)
Federalism’s Dynamics
• The rulings of the
federal courts have
influenced the
relationship between
the national
government and the
states.
– The Supreme Court’s
determination regarding
the Commerce Clause,
Article I, Section 8, of the
Constitution, gave
Congress the power to
regulate commerce among
the states.
Federalism’s Dynamics – 20
th
century
• New Deal/Great Depression - court
rulings upheld several major New Deal
measures
– National crisis demanded national
attention
• Post-1990s
– a series of Supreme Court rulings involving
the Commerce Clause and rulings (i.e. gun
control) suggested that the states’ rights
position was gaining ground
Relations among the States
• The Framers wanted a single country, not
thirteen squabbling semi-countries.
• Article IV requires states to give “full
faith and credit” to each others’ laws and
legal proceedings.
– States are also required to extradite criminals if
asked by another state.
– States recognize drivers’ and marriage licenses,
custody rulings, etc.
The Powers of Government in the
Federal System
The distribution of powers in the federal
system consists of several parts:
– expressed powers
– shared powers (concurrent powers)
– reserved powers to the states
– denied powers
– implied powers (elastic clause)
– Inherent powers
Implied
Powers
• The national government
may make all laws which
shall be necessary and
proper to execute the
enumerated powers.
• The necessary and proper
clause has often been used
to expand the powers of the
national government (elastic
clause).
Concurrent Powers & State Powers
• Concurrent powers - powers shared
with national government
– the right to tax, borrow money, establish
courts, and make and enforce laws.
• Reserved Powers - Most come from the
10th Amendment that says:
"The powers not delegated to the United
States by the Constitution, nor prohibited
by it to the States, are reserved to the
States respectively, or to the people."
– These are often referred to as reserve or
police powers (affecting health, safety, and
morals)
– Often reflect cultural norms of community
Denied Powers
• Article I, section 9 lays out powers denied
to the central government.
–For example: give preference to ports
of one state over another
• Article I, section 10 lays out the powers
denied to the states.
–For example: enter into treaties,
alliances, or confederations
Federal Aid to States:
Grants-in-Aid
• Grant-in-Aid money provided by
federal government
to another to be
spent for a given
purpose
-has influenced the
federal government’s
control over states.
Categorical Grants:
targeted for a specific purpose either by formula
or by project
(Head Start, Food Stamp Program, etc.)
• Formula Grants—categorical grants
distributed according to a particular set of
rules (formula)
– specify who is eligible for the grants and how
much each eligible applicant will receive
• Project Grants—categorical grants awarded
on the basis of competitive applications
submitted by prospective recipients to
perform a specific task or function.
Block grants
• In contrast to categorical
grants
– Grants-in-aid awarded for
general purposes, allowing
the recipient great discretion
in spending the grant money.
• Education
• Healthcare
• Transportation
• Housing
• Counterterrorism
Figure 4.2: Trends in National Government Grants to States
and Localities, FY 1980, 1990, and 2000