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FEDERALISM
CHAPTER 4
FEDERALISM V.
UNITARY SYSTEM
Unitary System: all power is held by a strong central authority.
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Why was a unitary system out of the question at the
Constitutional Convention?
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How did communication and geography also act as a factor?
The Federal System (federalism: a form of government in which
power is divided between the federal (national) government and the
state governments) was a compromise between protecting national
interests and local interests.
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How did this system also represent Montesquieu’s political
philosophy?
GOVERNMENT POWER
1. Federal Government (National/Central)
2. State Government
National Powers
1. Expressed (Enumerated) Powers: Powers given
expressly to the federal government in the U.S
Constitution.
- Located in Article 1, 2, and 3 of the constitution.
- Clearly listed (numbered) powers
2. Implied Powers: Powers inferred from the
Necessary and Proper Clause
- Extensions of expressed powers
GOVERNMENT POWER
State Powers
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Reserved Powers: Powers “reserved” to the states in
the 10th Amendment.
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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.
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Federalist no. 45: Powers granted to the national
government were “few and defined,” and the powers of the
states were “numerous and indefinite.”
Shared Powers
- Concurrent Powers: Powers shared by the state and the
federal government (example: tax and build roads)
FEDERALIST 45
INTERPRETATION (STRICT
INTERPRETATION
LIMITS ON POWER
Founders placed specific limits to government within the U.S.
Constitution.
- Why did the founders feel this was necessary? What events would
have influenced these limits?
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Examples:
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National Government: Article 1, Section 9- can’t deny trial by jury,
can’t grant titles of nobility, or pass laws favoring the trade of one
state over another.
State Government: Article 1, Section 10- can’t coin money, can’t
raise an army, or tax other states.
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Avoid disrupting national unity.
Both levels: No ex post facto laws (a law which makes criminal
an act which was legal when it was committed.)
RELATIONSHIP BETWEEN NATIONAL
AND STATE GOVERNMENT
Republicanism: The federal and all state governments must
follow a republican model of government.
Full Faith and Credit Clause: Article 4 requires that states give “full
faith and credit” to the public acts, official records, and judicial
proceedings of every other state.
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Extradition
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Driver’s license
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Recognition of Marriage
Supremacy Clause: If there is a conflict between state and
national laws or powers, the national government trumps state
power. (Article 6) (supported by McCulloch v. Maryland)
MCCULLOCH V.
MARYLAND
McCulloch v. Maryland (1819)
Facts of the Case:
In 1816, Congress chartered The Second Bank of the United States. In
1818, the state of Maryland passed legislation to impose taxes on the
bank. James W. McCulloch, the cashier of the Baltimore branch of the
bank, refused to pay the tax.
Two Part question: Did Congress have the power to establish a
National Bank? Did congressional law override the powers of the
state of Maryland?
Opinion of the Court: 1) The Necessary and Proper Clause
supports the creation of the National Bank, and therefore, is not a
violation of the Constitution. 2) The Supremacy Clause denies
the state the power to tax a national entity.
INTERPRETING FEDERALISM
AND CONFLICT
A House Divided: Slavery
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“A house divided against itself cannot stand. I believe this
government cannot endure permanently half slave and half free. I do
not expect the house to fall- but I do expect it will cease to be
divided.”
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Doctrine of Nullification: the belief that states had the right to “nullify”
or cancel any national law which contradicted the interests of the
state.
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Doctrine of Secession: the belief that states had the right to separate
themselves from the union.
Slavery, State’s Rights, and State Sovereignty came to a head in
1861 in what event?
- Union victory reinforces federal power/supremacy.
Dual Federalism: worked under the belief that the national government
was supreme in its sphere as the states were within their spheres.
They worked independently from one another and did not interfere
with the inner-workings of the other.
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COOPERATION IN
FEDERALISM
The Great Depression- Crisis => Growth of Federal Government
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Franklin Delano Roosevelt (FDR) established the New Deal.
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A set of policies and creation of government programs to address
specific needs of Americans. (Social Security and FDIC)
Cooperative Federalism: national government and state governments
worked together to manage the depression.
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The policies were not made separately, but designed in a collaborative
process in order to solve common issues.
Creative Federalism (Lyndon Johnson)- the national government
gives national funds in form of grants to states to achieve different
national goals.
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Grants-in-Aid- grants of money given to state and local government by
the national government with some strings attached.
Allows for creativity and innovation from state-to-state. (Education)
How does that empower the national government?
FEDERAL GOVERNMENT
STEPS BACK- DEVOLUTION
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New Federalism (Ronald Reagan)- the trend of moving
more power back in the hands of the states and removing
many of the grants by the federal government
(Devolution).
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Laissez Faire: the theory or system of government that
upholds the autonomous character of the economic order,
believing that government should intervene as little as
possible in the direction of economic affairs.
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French for “Let (people) do (as they choose).”
HURRICANE KATRINA
HURRICANE KATRINA: A
TEACHABLE MOMENT
Consider the following ideas:
1. What does the failure of government during Katrina tell us
about the “pitfalls” or “unintended consequences” of
Federalism as a government system?
2. Why is it important that government officials and
policymakers come up with a common interpretation of how
to apply Federalism?
3. Why is “dual federalism” an issue when there are “gray
areas” in authority?
Video: ABC News Report
Reading: How the New Federalism Failed Katrina Victims
GRANTS AND MANDATES
Grants-in-aid: money given by the national government to the
states.
Categorical Grants: grants of money that can only be used for
specific purposes or “categories.”
- Disaster relief, airport construction
- Usually requires some amount of matching from local
governments
- Gives Congress a lot of power over states
Block Grants: grants of money given for broad or general
purposes which gives states more power in deciding how the
money is used (fewer strings attached).
- Welfare, Medicaid, Community Development
Conditions of aid: Terms set by the national government that
states must meet if they are to receive certain federal funds.
- “Strings attached”
GRANTS AND MANDATES
CONTINUED
Federal Mandates: demands on states to carry out certain
policies whether or not they accept federal grants.
- Clean air act, enacting civil rights legislation