Federalism – Forging a NationConstitutional Underpinnings

AP U.S. Government and Politics

Federalism: National and State Sovereignty

• Federalism – Governmental system where authority is divided between two sovereign levels of government: national and regional.– The framers divided sovereignty (the supreme authority

to govern) between national and state governments.

Other Options– In 1787, other nations were governed by a unitary

system.• Unitary system – National government alone has ultimate

authority.– A confederacy existed in the U.S. under the Articles.• Confederacy – sovereignty is vested in the state governments.

Why Federalism?• Framers felt federalism would correct defects in

Articles of Confederation.– Framers felt federalism would protect liberty.– Part of checks and balances; national and state

governments would keep each other in check.– Constitution wouldn’t have been ratified without it.• Preserved state traditions while establishing strong national

government.– Framers felt that shared Power = Limited government– Citizens could have access to all levels of government.

Constitutional Basis for Federalism• The Constitution sets out different types of powers.– Article I, Section 8 of the Constitution grants the national

government enumerated (expressed) powers.• 17 powers granted; including taxation, regulation of commerce, and

authority to provide national defense.• Article VI of Constitution is known as the Supremacy Clause, stating that

national law is supreme over state law.– The federal government also has implied powers.

• Granted through “necessary and proper” or elastic clause, gives national government powers not listed in the Constitution but are related to the actions that are listed.

• Impossible to predict all powers Congress will need to function, sometimes we might have to allow Congress extra powers to fulfill their delegated powers.

Other Powers• States get their powers, known as reserved powers,

through the Tenth Amendment.• Powers not delegated to national government are reserved to the

states.

• Concurrent Powers – powers shared by national and state governments.

• Inherent Powers – not listed in Constitution, but grow out of existence of national government.

• ex. The U.S. can acquire territory by expansion.

• Prohibited Powers – powers denied from both national and state governments.

• ex. Governments can’t tax exports, no bill of attainder, no ex post facto laws.

• The Constitution also governs relations between states (Article IV).

• The full faith and credit clause ensures that judicial decrees and contracts made in one state will be binding in any other state.• The privileges and immunities clause guarantees citizens of

each state are afforded the same rights as citizens of all other states.

Historical view of Federalism

• Key issue during first era of America’s history (1789-1865) was the Union’s survival.– Early Supreme Court decisions increased national

government influence.• McCulloch v. Maryland (1819) – Chief Justice John Marshall

ruled the states didn’t have power to tax national government.– “Necessary and Proper Clause” – national government’s power extends

past those granted in Constitution.• Gibbons v. Ogden (1824) – Congress’ commerce power

overrides any and all conflicting state law.– Marshall ruled “Necessary and Proper” clause and

commerce clause were broad grants of national power.

– Dred Scott (1857) decision ruled that slaves were property, not people.• Since the Constitution forbid Congress to deny property rights,

Congress did not have the authority to outlaw slavery in any part of U.S. – Invalidated the Missouri Compromise.

– Following the Civil War, dual federalism dominated American politics.• Dual federalism was based on the idea that a precise separation

of national and state authority was possible and desirable.– “The power which one possesses, the other does not.”

• 14th Amendment granted citizenship to any person born in the U.S. (slaves) and ruled that states may not deny citizens equal protection of the law.

Dual Federalism (1860s-1930s)• Marked by sharp line between national and state

authority.– Era of dual federalism features state supremacy in racial

policy and business supremacy in commerce policy.• Plessy v. Ferguson (1896) – Supreme Court sanctioned

government based segregation in the South.• Supreme Court also narrowly interpreted the national

government’s commerce power.– “Layer Cake Federalism” – the powers of national and

state gov’ts are layers on a cake. Each is supreme in its own layer.

Cooperative Federalism (1937-1980)• The 16th and 17th amendments helped change the

relationship between state and national government.– New Deal policies forced all levels of government.– After the New Deal, the relationship between state and

national government was based on cooperative federalism.• Cooperative Federalism – also called “marble cake

federalism.”– National, state, and local levels of government work together

to solve problems.– National government involvement in traditional state areas

led to diminished state-to-state policy differences.

Cooperative “Marble Cake” Federalism

• Based on a mixture of authority and government programs between national, state, and local levels.

Dual “Layer Cake” Federalism

• Based on a clear separation of authority between national, state, and local governments.

Originally, the Supreme Court opposed many of Roosevelt’s New Deal programs. Roosevelt looked to appoint more court justices who would approve his New Deal Policies. This was met with great opposition. In the end, Justice Owen Roberts changed his stance, giving Roosevelt a 5-4 majority and putting New Deal programs into effect.

Fiscal Federalism

• The National Government’s revenue-raising advantage has made money a basis for the relations between national and state governments.– Fiscal federalism – the expenditure of federal funds on

programs run in part through state or local governments.– The national government provided some or all of the

money through grants-in-aid (cash payments).• States and local governments must spend grant-in-aid money

as specified by Congress.

• State and local governments receive two major types of assistance – categorical grants and block grants.– Categorical grants, the more restrictive, can be used

only for designated activity.• ex. School lunch programs

– Block grants allow state and local officials to decide how the money will be spent within a general area.• State and local officials prefer block grants.• Recently, officials at all levels have favored block grants.

– Over the last several decades, there has been a push for devolution, the passing of authority from the national government to state and local governments.

Devolution• After the 1960s, public support for federal spending

declined.– “New Federalism”, an idea proposed by Republican Presidents

Richard Nixon and Ronald Reagan gave more control to states.• Reagan wanted to keep national influence affecting states to a

minimum.• Republicans reduced unfunded mandates, federal programs that

require action by states but provide no funding.

• The Supreme Court’s position on federalism also changed.• U.S. v. Lopez (1995) – Supreme Court ruled that Congress lacked

Constitutional authority under the commerce clause to regulate guns within 1,000 feet of a school.

• Gun control laws were a state, not national matter.

Modern Federalism• Although there has been a shift in public policy and

power to the states, this didn’t completely change American federalism.– Federal grants-in-aid continue to flow from Washington

to the states, shaping many of their activities.– In the last 15 years, the devolution movement has

slowed.• Recent economic crisis shifted power from business sector to

Washington.– Nationalization, or increasing national authority, has

been the long-term trend in American federalism.

Public Influence on Federalism• As Americans’ attitudes toward federal and state

governments change, so does federalism.– New Deal, LBJ’s Great Society – based on increased

national involvement.– “New Federalism” contributed to devolution revolution.

• Disruptive events have typically had a large effect on American Federalism.