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FEDERALISM
UNIT 4
DEFINING FEDERALISM
• WHAT IS FEDERALISM?
• FEDERALISM: A WAY OF ORGANIZING A NATION SO THAT
TWO OR MORE LEVELS OF GOVERNMENT HAVE FORMAL
AUTHORITY OVER THE LAND AND PEOPLE
• UNITARY GOVERNMENTS: A WAY OF ORGANIZING A
NATION SO THAT ALL POWER RESIDES IN THE CENTRAL
GOVERNMENT
• CONFEDERATION: THE UNITED NATIONS IS A MODERN
EXAMPLE.
• INTERGOVERNMENTAL RELATIONS: THE WORKINGS OF THE
FEDERAL SYSTEM- THE ENTIRE SET OF INTERACTIONS
AMONG NATIONAL, STATE AND LOCAL GOVERNMENTS
THE ROOTS OF THE
FEDERAL SYSTEM
THE THREE MAJOR ARGUMENTS FOR FEDERALISM
ARE:
1. THE PREVENTION OF TYRANNY;
2. THE PROVISION FOR INCREASED
PARTICIPATION IN POLITICS;
3. THE USE OF THE STATES AS TESTING
GROUNDS OR LABORATORIES FOR NEW
POLICIES AND PROGRAMS.
DEFINING FEDERALISM
DEFINING FEDERALISM
• WHY IS FEDERALISM SO IMPORTANT?
• DECENTRALIZES OUR POLITICS
• MORE OPPORTUNITIES TO PARTICIPATE
• DECENTRALIZES OUR POLICIES
• FEDERAL AND STATE GOVERNMENTS HANDLE DIFFERENT
PROBLEMS.
• STATES REGULATE DRINKING AGES, MARRIAGE, AND SPEED
LIMITS.
• STATES CAN SOLVE THE SAME PROBLEM IN DIFFERENT WAYS
AND TEND TO BE POLICY INNOVATORS.
THE CONSTITUTIONAL
BASIS OF FEDERALISM
• THE DIVISION OF POWER
• SUPREMACY CLAUSE: ARTICLE VI OF THE
CONSTITUTION STATES THE FOLLOWING ARE
SUPREME:
• THE U.S. CONSTITUTION
• LAWS OF CONGRESS
• TREATIES
• YET, NATIONAL GOVERNMENT CANNOT USURP STATE
POWERS.
• TENTH AMENDMENT
THE CONSTITUTIONAL
BASIS OF FEDERALISM
THE CONSTITUTIONAL
BASIS OF FEDERALISM
• ESTABLISHING NATIONAL SUPREMACY
• IMPLIED AND ENUMERATED POWERS
• MCCULLOCH V. MARYLAND (1819)
• COMMERCE POWERS
• GIBBONS V. OGDEN (1824)
• THE CIVIL WAR (1861-1865)
• THE STRUGGLE FOR RACIAL EQUALITY
• BROWN V. BOARD OF EDUCATION (1954)
POWERS OF THE NATIONAL
GOVERNMENT
• DELEGATED POWERS: HAS ONLY THE
POWERS GRANTED BY THE CONSTITUTION.
• EXPRESSED POWERS: ARE DELEGATED TO
THE NATIONAL GOVERNMENT; EXPRESSED
IN THE CONSTITUTION. (ALSO KNOWN AS
ENUMERATED POWERS.)
POWERS OF THE NATIONAL
GOVERNMENT
• IMPLIED POWERS: ARE NOT EXPRESSLY
STATED IN THE CONSTITUTION BUT ARE
SUGGESTED.
• INHERENT POWERS: BELONG TO THE
NATIONAL GOVERNMENT BECAUSE IT IS
THE GOVERNMENT OF A SOVEREIGN STATE
WITHIN THE WORLD COMMUNITY.
MCCULLOCH V. MARYLAND (1819)
• MCCULLOCH WAS THE FIRST MAJOR DECISION BY
THE SUPREME COURT UNDER CHIEF JUSTICE JOHN
MARSHALL ABOUT THE RELATIONSHIP BETWEEN THE
STATES AND THE NATIONAL GOVERNMENT.
• THE COURT UPHELD THE POWER OF THE NATIONAL
GOVERNMENT AND DENIED THE RIGHT OF A STATE
TO TAX THE BANK.
• THE COURT’S BROAD INTERPRETATION OF THE
NECESSARY AND PROPER CLAUSE PAVED THE WAY
FOR LATER RULINGS UPHOLDING EXPANSIVE FEDERAL
POWERS.
GIBBONS V. OGDEN (1824)
• THE GIBBONS CASE CENTERED ON THE CONFLICT
BETWEEN THE STATES AND THE POWERS OF CONGRESS.
• COULD NEW YORK GRANT A MONOPOLY CONCESSION
ON THE NAVIGATION OF THE HUDSON RIVER? THE
HUDSON RIVER FORMS PART OF THE BORDER BETWEEN
NEW YORK AND NEW JERSEY AND THE U.S. CONGRESS
ALSO LICENSED A SHIP TO SAIL THE HUDSON.
• THE MAIN CONSTITUTIONAL QUESTION IN GIBBONS WAS
ABOUT THE SCOPE OF CONGRESS' AUTHORITY UNDER
THE COMMERCE CLAUSE.
• IN GIBBONS, THE COURT UPHELD BROAD
CONGRESSIONAL POWER OVER INTERSTATE COMMERCE.
THE CONSTITUTIONAL BASIS OF
FEDERALISM
• STATES’ OBLIGATIONS TO EACH OTHER
• FULL FAITH AND CREDIT: EACH STATE MUST
RECOGNIZE OFFICIAL DOCUMENTS AND JUDGMENTS
RENDERED BY OTHER STATES.
• ARTICLE IV, SECTION I OF CONSTITUTION
• PRIVILEGES AND IMMUNITIES: CITIZENS OF EACH STATE
HAVE PRIVILEGES OF CITIZENS OF OTHER STATES.
• ARTICLE IV, SECTION 2 OF CONSTITUTION
• EXTRADITION: STATES MUST RETURN A PERSON
CHARGED WITH A CRIME IN ANOTHER STATE TO THAT
STATE FOR PUNISHMENT.
DAY 2
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.
• STATES ARE ALSO REQUIRED TO EXTRADITE
CRIMINALS IF ASKED BY ANOTHER STATE.
INTERGOVERNMENTAL
RELATIONS TODAY
• DUAL FEDERALISM
• DEFINITION: A SYSTEM OF GOVERNMENT IN WHICH
BOTH THE STATES AND THE NATIONAL GOVERNMENT
REMAIN SUPREME WITHIN THEIR OWN SPHERES, EACH
RESPONSIBLE FOR SOME POLICIES
• LIKE A LAYER CAKE
• NARROWLY INTERPRETED POWERS OF FEDERAL
GOVERNMENT
• ENDED IN THE 1930S
COOPERATIVE FEDERALISM
• PRIOR TO THE 1930S, MANY SCHOLARS USED THE ANALOGY
OF A LAYER CAKE TO DESCRIBE (DUAL) FEDERALISM.
• EACH LAYER HAD CLEARLY DEFINED POWERS AND
RESPONSIBILITIES.
• AFTER THE NEW DEAL, THE ANALOGY OF A MARBLE CAKE
SEEMED MORE APPROPRIATE BECAUSE THE LINES OF
AUTHORITY WERE MUCH MORE MIXED.
• THIS MARBLE CAKE FEDERALISM IS OFTEN CALLED
COOPERATIVE FEDERALISM AND HAS A MUCH MORE
POWERFUL NATIONAL GOVERNMENT.
• STATES HAVE A COOPERATIVE ROLE, AS DID MANY CITIES
CAKE
INTERGOVERNMENTAL RELATIONS TODAY
• FISCAL FEDERALISM
• DEFINITION: THE PATTERN OF SPENDING, TAXING, AND
PROVIDING GRANTS IN THE FEDERAL SYSTEM
• THE CORNERSTONE OF THE NATIONAL
GOVERNMENT’S RELATIONS WITH
STATE AND LOCAL GOVERNMENTS
INTERGOVERNMENTAL RELATIONS TODAY
• FISCAL FEDERALISM (CONTINUED)
• THE GRANT SYSTEM: DISTRIBUTING THE FEDERAL PIE
• CATEGORICAL GRANTS: FEDERAL GRANTS THAT CAN BE
USED FOR SPECIFIC PURPOSES; GRANTS WITH STRINGS
ATTACHED
• PROJECT GRANTS: BASED ON MERIT
• FORMULA GRANTS: AMOUNT VARIES BASED ON FORMULAS
• BLOCK GRANTS: FEDERAL GRANTS GIVEN MORE OR LESS
AUTOMATICALLY TO SUPPORT BROAD PROGRAMS
• GRANTS ARE GIVEN TO STATES AND LOCAL GOVERNMENTS.
INTERGOVERNMENTAL RELATIONS TODAY
• FISCAL FEDERALISM (CONTINUED)
• THE SCRAMBLE FOR FEDERAL DOLLARS
• $460 BILLION IN GRANTS EVERY YEAR
• GRANT DISTRIBUTION FOLLOWS UNIVERSALISM—
A LITTLE SOMETHING FOR EVERYBODY.
• THE MANDATE BLUES
• MANDATES DIRECT STATES OR LOCAL
GOVERNMENTS TO COMPLY WITH FEDERAL RULES
UNDER THREAT OF PENALTIES OR AS A CONDITION
OF RECEIPT OF A FEDERAL GRANT.
• UNFUNDED MANDATES
CREATIVE FEDERALISM
• FEDERAL GRANTS: ALLOCATION OF FEDERAL MONEY
TO THE STATES FOR A SPECIFIC PURPOSE.
• FEDERAL LEADERSHIP SAW THESE GRANTS AS A WAY
TO COMPEL INDIVIDUAL STATES TO BEHAVE IN WAYS
DESIRED BY THE NATIONAL GOVERNMENT. IF THE
STATES REFUSED TO COOPERATE WITH THE FEDERAL
GOVERNMENT, IT WOULD WITHHOLD FUNDS.
MANDATES
• MANDATES DIRECT STATES OR LOCAL GOVERNMENTS TO
COMPLY WITH FEDERAL RULES UNDER THREAT OF PENALTIES OR
AS A CONDITION OF RECEIPT OF A FEDERAL GRANT.
• IN THE UNITED STATES, WHEN THE FEDERAL GOVERNMENT
IMPOSES NEW REGULATIONS OR EXPECTATIONS ON STATE OR
PRIVATE ENTITIES, THEY HAVE ENACTED WHAT ARE KNOWN AS
FEDERAL MANDATES. THESE MANDATES TEND TO BE DONE IN THE
INTEREST OF PUBLIC SAFETY, EQUALITY, OR FAIRNESS.
• ROOSEVELTS’ NEW DEAL
UNFUNDED MANDATES
• WHEN THE GOVERNMENT IMPOSES NEW
REGULATIONS OR EXPECTATIONS, BUT
DOESN'T PROVIDE FINANCIAL ASSISTANCE
OR RESOURCES, IT IS WHAT IS KNOWN
AS AN UNFUNDED MANDATE.
• UNFUNDED MANDATES ARE REQUIREMENTS
ON STATE & LOCAL GOVERNMENTS - BUT
NO MONEY
EXAMPLES OF UNFUNDED MANDATES
• VOTING RIGHTS ACT OF 1965
• REQUIRED CERTAIN STATES TO CHANGE THE WAY THAT THEY
OPERATED THEIR VOTING PROCESS, IN ORDER TO ENSURE THAT
AFRICAN AMERICANS WERE BEING GIVEN THE OPPORTUNITY TO
VOTE
• NATIONAL MINIMUM DRINKING AGE ACT OF 1984
• CONGRESS IMPOSED NEW LAWS ON THE INDIVIDUAL STATES
THAT PROHIBITED THE SALE OF ALCOHOL TO MINORS. THIS
REQUIRED STATES TO PAY OUT OF THEIR OWN BUDGET FOR THE
CREATION OF NEW ADVERTISING MATERIALS, LEGAL PROCESSES,
AND LICENSING FOR RETAILERS
UNFUNDED MANDATE EXAMPLES
• U.S. FLAMMABLE FABRICS ACT IN 1953
• CLOTHING MANUFACTURERS WERE REQUIRED TO
CHANGE THE MATERIALS AND PROCESSES USED TO
MAKE CLOTHING.
FEDERAL GRANTS TO STATE AND LOCAL
GOVERNMENTS (FEDERAL FISCAL YEAR
2006)
UNDERSTANDING FEDERALISM
• ADVANTAGES FOR DEMOCRACY
• INCREASES ACCESS TO
GOVERNMENT
• LOCAL PROBLEMS CAN BE
SOLVED LOCALLY
• HARD FOR POLITICAL PARTIES OR
INTEREST GROUPS TO DOMINATE
ALL POLITICS
• DISADVANTAGES FOR
DEMOCRACY
• STATES HAVE DIFFERENT LEVELS
OF SERVICE
• LOCAL INTEREST CAN
COUNTERACT NATIONAL
INTERESTS
• TOO MANY LEVELS OF
GOVERNMENT AND TOO MUCH
MONEY
UNDERSTANDING FEDERALISM
UNDERSTANDING FEDERALISM
• FEDERALISM AND THE SCOPE OF GOVERNMENT
• WHAT SHOULD THE SCOPE OF NATIONAL GOVERNMENT BE
RELATIVE TO THE STATES?
• NATIONAL POWER INCREASED WITH INDUSTRIALIZATION,
EXPANSION OF INDIVIDUAL RIGHTS, AND SOCIAL SERVICES.
• MOST PROBLEMS REQUIRE RESOURCES AFFORDED TO THE
NATIONAL, NOT STATE GOVERNMENTS.
THREE CATEGORIES OF POWERS
• ENUMERATED POWERS: GIVEN TO NATIONAL GOVERNMENT
EXCLUSIVELY; INCLUDE POWER TO PRINT MONEY, DECLARE
WAR, MAKE TREATIES, CONDUCT FOREIGN AFFAIRS (ARTICLE 1,
SECTION 8)
• RESERVED POWERS: GIVEN TO STATES EXCLUSIVELY; INCLUDE
POWER TO ISSUE LICENSES AND TO REGULATE COMMERCE
WHOLLY WITHIN A STATE (10TH AMENDMENT)
• CONCURRENT POWERS: SHARED BY BOTH NATIONAL AND
STATE GOVERNMENTS; INCLUDE COLLECTING TAXES, BUILDING
ROADS, BORROWING MONEY, HAVING COURTS
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
SUMMARY
• AMERICAN FEDERALISM IS A GOVERNMENTAL
SYSTEM IN WHICH POWER IS SHARED BETWEEN
A CENTRAL GOVERNMENT AND THE 50 STATE
GOVERNMENTS.
• THE UNITED STATES HAS MOVED FROM DUAL TO
COOPERATIVE FEDERALISM; FISCAL FEDERALISM.
• FEDERALISM LEADS TO BOTH ADVANTAGES AND
DISADVANTAGES TO DEMOCRACY.
INDEPENDENT WORK
• READ PAGES 105-108 IN THE
TEXTBOOK.
• DEFINE THE TERMS ON PAGE 105.
• ANSWER QUESTIONS 1-4 IN THE
TEXTBOOK.
READING QUIZ
1.
THE MAN BEING LINKED TO THE MISSING UVA STUDENT WAS
FOUND IN TEXAS. SENDING HIM BACK TO VA IS AN EXAMPLE OF
__________
2.
NAME 1 OF THE 2 EXCEPTIONS TO THE FULL FAITH AND CREDIT
CLAUSE.
ANSWERS
1.
EXTRADITION
2.
ONE STATE CANNOT ENFORCE ANOTHER STATE’S CRIMINAL LAWS.
FULL FAITH AND CREDIT NEED NOT BE GIVEN TO CERTAIN
DIVORCES GRANTED BY ONE STATE TO RESIDENTS OF ANOTHER
STATE.