Section 1jb-hdnp.org/Sarver/Government/Chapter_Summaries/gov_ch04.pdf · Chapter 4: Federalism. ......

Section 1: Dividing Government Power

Section 2: American Federalism: Conflict and Change

Section 3: Federalism Today

Chapter 4: Federalism

American federalism was invented in Philadelphia in 1787. When delegates to the Constitutional Convention met to consider strengthening the national government, federalism was an obviouschoice.

Why Federalism?

American federalism was invented in Philadelphia in 1787. When delegates to the Constitutional Convention met to consider strengthening the national government, federalism was an obviouschoice.

Why Federalism?

• New nation struggled to function as confederation• Without power to raise funds, national government not strong enough to

deliver stability or economic unity• Unitary rule—all power held by strong central authority—out of the question• Founders suspicious of powerful central government, like British monarchy• Framers sought to forge republic• Relied on philosophers who advocated self-rule and limited government—

Hobbes, Rousseau, Smith

• 1748: Spirit of the Laws, Baron de Montesquieu– Dividing power best way to defend people’s freedom from too powerful

government– Framers thoroughly absorbed this idea

• Framers faced difficult balancing act– National government addresses needs of nation– Preserve states’ rights– Ensure republican government

• Framers devised plan with authority balanced between nation and states• Carefully divided power between two levels of government—state, national

– All powers dealing with states’ common interests—national defense, control over currency—assigned to national government

– All other powers remained with states

Why Federalism (cont’d.)

The Constitution outlined a federal system that would provide strong national government and protect states’ rights. In the U.S. federal system, some powers belong to the national government, others are reserved for the states, and still others are shared by both.

National Powers

The Constitution outlined a federal system that would provide strong national government and protect states’ rights. In the U.S. federal system, some powers belong to the national government, others are reserved for the states, and still others are shared by both.

National Powers

• Expressed powers: powers granted to national government by Constitution

• Article I, Section 8: expressed powers of legislative branch—power to issue money, collect taxes, pay debts, regulate trade, declare war, raise and maintain armed forces

• Expressed powers of other two branches listed in Articles II, III

• Article II gives president power to command armed forces, conduct foreign relations

• Article III gives judicial branch power to rule on constitutional issues, cases involving U.S. government, disputes among states

Expressed Powers

Implied Powers

• Implied powers: not specifically listed but logical extensions of expressed powers

• Article I, Section 8:necessary and proper clause

• Also referred to as elastic clause; used to stretch powers of Congress

• Building highways, regulating food, mechanism for collecting taxes

Implied Powers

• Implied powers: not specifically listed but logical extensions of expressed powers

• Article I, Section 8:necessary and proper clause

• Also referred to as elastic clause; used to stretch powers of Congress

• Building highways, regulating food, mechanism for collecting taxes

Inherent Powers• Inherent powers: historically recognized as naturally belonging to all

governments that conduct business of sovereign nation• U.S. government has inherent powers simply because it is a national

government• Power not specifically granted by Constitution: power to acquire new territory,

conduct foreign affairs

State Powers• Constitution has less to say about state powers

• James Madison: national powers “few and defined,” state powers “numerous and indefinite”

• 1791: Bill of Rights reserved powers clause—”powers not delegated to the United States…reserved to the States respectively”

State Powers• Constitution has less to say about state powers

• James Madison: national powers “few and defined,” state powers “numerous and indefinite”

• 1791: Bill of Rights reserved powers clause—”powers not delegated to the United States…reserved to the States respectively”

• Reserved powers belong to states because they are not delegated to national government, nor prohibited from states

• Regulate health, public safety, morals, general welfare of state citizens

• Other reserved state powers: ability to regulate marriage, form local governments, control public school systems, establish and enforce laws

• Power to regulate businesses operating within borders, issue licenses to doctors, lawyers, barbers, hairdressers

In addition to their reserved powers, states may also share powers with the national government. If the Constitution does not specifically state that a power belongs exclusively to the national government, then the states may exercise that power, too.

Shared Powers

In addition to their reserved powers, states may also share powers with the national government. If the Constitution does not specifically state that a power belongs exclusively to the national government, then the states may exercise that power, too.

Shared Powers

• Power to collect taxes is a concurrent power: power held by national government, state governments at same time

• Both levels of government can establish courts, make and enforce laws, build roads, provide education, borrow and spend money

• Citizens subject to two levels of authority; must follow state and national laws• Framers considered situation where national, state laws come into conflict• Article VI supremacy clause: national laws and treaties form the “supreme

law of the land”• Judges have to obey Constitution even if it contradicts state laws

• U.S. Constitution denies certain powers to national, state governments

• Framers believed strongly in limited government

• Placed limits to prevent tyranny and protect individual liberties

The Limits of Power




The Limits of PowerLimits on National Government• Article I, Section 9: government

cannot deny right to trial by jury, grant titles of nobility, tax exports between states

• May not exercise powers reserved to states or limit basic freedoms







Limits on State Governments• Article I, Section 10: denies specific

powers to state governments—to coin money and to tax imports and exports from other states

• States may not have own armies, engage in wars, enter into treaties







Limits on State Governments• Article I, Section 10: denies specific

powers to state governments—to coin money and to tax imports and exports from other states

• States may not have own armies, engage in wars, enter into treaties

Powers Denied to Both Levels• Neither can deny people accused

of crimes right to trial by jury or grant titles of nobility

• Neither can pass ex post facto laws

The Nation and the Fifty States• Constitution divides government

power, describes responsibilities of national and state governments to each other

• Article IV, Section 4: national government only officially recognize representative state governments

• National government responsible for protecting states from foreign invasion and domestic uprisings

Nation and State Relations





Nation and State RelationsThe Nation and the Fifty States

• National government responded to terrorist attack in New York on 9/11

• Constitution ensures states be treated as equals by national government

• States must have equal representation in Senate

• Nation cannot tax people of one state more than another





Nation and State RelationsThe Nation and the Fifty States

• National government responded to terrorist attack in New York on 9/11

• Constitution ensures states be treated as equals by national government

• States must have equal representation in Senate

• Nation cannot tax people of one state more than another

National government can admit new states, but it cannot split up states that already exist, or change state boundaries in any way.

• Constitution gives states right to manage affairs within borders– Encourages cooperation between states– States required to extradite persons charged with crime to state where

offense committed• Article IV: full faith and credit clause

– Requires states give “full faith and credit” to public acts, official records, judicial proceedings of every other state

– Contract signed in one state honored by officials in another state• Article IV, Section 2: privileges and immunities clause

– Citizens of each state receive all “privileges and immunities” of any state– New Yorker visiting North Carolina will enjoy same police protection as

North Carolinians– Many exceptions, including in-state college tuition to residents and lower

fees for services funded by taxes

Relations between the States

What about Local Government

• Creating local governments is a power reserved to the states.

• Relationship between state and local government different from that of national and state governments

• State government has power to reorganize local government at any time to better address state needs

What about Local Government

• Creating local governments is a power reserved to the states.

• Relationship between state and local government different from that of national and state governments

• State government has power to reorganize local government at any time to better address state needs

Native American Sovereignty• Article I, Section 8: national government has power to regulate commerce

with Indian tribes; used power to make treaties with Native American nations• In most cases treaties resulted in loss of land, sovereignty, and individual

rights for native peoples• Native Americans not granted full citizenship until 1924

Section 2 at a GlanceAmerican Federalism: Conflict and Change• Federalism has changed over time to meet new political needs.• The Supreme Court acts as a referee in the division of power

between the national and state governments.• Before the Civil War, American federalism was guided by the

principle of dual federalism, or the idea that the national and state governments were equal in authority.

• Over the course of U.S. history, American federalism has experienced a steady expansion in national power.

• In recent years, a trend in American federalism called devolution has attempted to return power to the states.

Long before the Civil War, the Framers anticipated the government they created might lead to conflicts between the states and the national government. How did they plan to resolve such conflicts?

Role of the Supreme Court

Long before the Civil War, the Framers anticipated the government they created might lead to conflicts between the states and the national government. How did they plan to resolve such conflicts?

Role of the Supreme Court

• Gave Supreme Court power to resolve conflicts between nation and states• Article III gives judicial branch authority to hear cases involving Constitution,

U.S. laws, disputes between states• Supreme Court acts as referee, sorting out conflicts between nation, states• Courts make decisions based on rules in Constitution• Article VI includes supremacy clause: Constitution, national laws, treaties

made by national government “supreme law of the land”• Court’s rulings have gradually increased power of national government• American federalism continually changed to meet needs of new generations• Changes understood in four terms: dual federalism, cooperative federalism,

creative federalism, new federalism

The first era of American federalism, dual federalism, lasted from about 1789 to the 1930s. Both state and national government were equal authorities operating within their own spheres of influence, as defined by a strict reading of the Constitution.

Dual Federalism

The first era of American federalism, dual federalism, lasted from about 1789 to the 1930s. Both state and national government were equal authorities operating within their own spheres of influence, as defined by a strict reading of the Constitution.

Dual Federalism

The Great Debate• Nationalists: advocates of strong, centralized national government• Proponents of states’ rights held national government should not unduly

intrude in state affairs• Secretary of Treasury Alexander Hamilton asked Congress to create national

bank, argued government had constitutional power to regulate currency, therefore implied power to create bank

• Congress refused to renew charter when it expired 20 years later• 1816: dispute resurfaced with charter of Second Bank of the United States

The Marshall Court• 1819, McCulloch v. Maryland: bank dispute reached Supreme Court• Court ruled in favor of nation’s authority to start bank• Chief Justice John Marshall argued charter justified by Constitution’s

necessary and proper clause• Bank would help nation properly execute powers to regulate commerce and

currency

Dual Federalism (cont’d.)

The Marshall Court• 1819, McCulloch v. Maryland: bank dispute reached Supreme Court• Court ruled in favor of nation’s authority to start bank• Chief Justice John Marshall argued charter justified by Constitution’s

necessary and proper clause• Bank would help nation properly execute powers to regulate commerce and

currency

Dual Federalism (cont’d.)

“A House Divided”• U.S. became bitterly divided over issue of slavery• Debate wrapped up in arguments about states’ rights and national power• Southern slave states resisted national measures to outlaw slavery in new

states and territories• Held states sovereign, could make decisions for themselves

“A House Divided” (cont’d.)• Doctrine of nullification: some southern politicians believed states had

right to nullify national laws that contradicted or clashed with state interests

• According to doctrine, if state challenged national law, three-quarters of other states would have to ratify amendment allowing Congress to enact law

• State could either choose to follow law or secede from Union

• Doctrine of secession: idea that states had right to separate from Union

• 1860: Issue of sovereignty came to a head after election of Abraham Lincoln

• Lincoln believed issue of slavery was divisive

• South Carolina first to secede; followed by 10 other states

• 1861: U.S. divided by Civil War, waged for 4 years; bloodiest war in U.S. history

After the Civil War• 1865: Confederacy surrendered; Union restored

• Defeat of Confederacy settled matter of slavery

• War profoundly changed relationship between states, national government

• War firmly established national supremacy

• Put to rest most radical interpretations of state sovereignty

• Led to expanded constitutional powers of national government

After the Civil War• 1865: Confederacy surrendered; Union restored

• Defeat of Confederacy settled matter of slavery

• War profoundly changed relationship between states, national government

• War firmly established national supremacy

• Put to rest most radical interpretations of state sovereignty

• Led to expanded constitutional powers of national government

• 13th, 14th, 15th Amendments (Reconstruction Amendments) passed

• Abolished slavery, defined citizenship, prohibited states from denying citizens’rights, extended voting rights to African American men

• In time national government would use new constitutional powers to protect rights of African Americans, women, and others

Landmark Supreme Court CasesMcCulloch v. Maryland (1819)

Why It Matters: In McCulloch v. Maryland the Supreme Court had the first of many opportunities to influence the division of power in the federal system. The Court’s decision led to the expansion of national power.

The Civil War reinforced the supremacy of the national government over the states. In the years following the war, new challenges continued to shift the balance of power in favor of the nationalgovernment.

Expanding National Power

The Civil War reinforced the supremacy of the national government over the states. In the years following the war, new challenges continued to shift the balance of power in favor of the nationalgovernment.

Expanding National Power

Turn-of-the-Century Reforms• End of 19th to start of 20th century was time of tremendous change in U.S.• New technology: railroads, telegraph, industrial machinery• Unprecedented growth: population more than doubled from 1870 to 1916• Social and economic problems: overcrowded cities, rising crime rates,

dangerous working conditions• Corporations developed great economic influence at expense of working-

class Americans• Difficult to address problems at state level

Turn-of-the-Century Reforms (cont’d.)• National government passed legislation to reform social, business conditions

• 1887: Interstate Commerce Act regulated the railroad industry

• Set restrictions on rates railroads could charge




• 1890: Sherman Antitrust Act prevented monopolies: exclusive control of a good or service in a particular market

• Encourage fair competition in all industries

• Early 1900s: used to break up large monopolies such as American Tobacco




• 1890: Sherman Antitrust Act prevented monopolies: exclusive control of a good or service in a particular market

• Encourage fair competition in all industries

• Early 1900s: used to break up large monopolies such as American Tobacco

• New laws expanded national government’s power to regulate business

• Court cases limited reach of national power

• 1895, United States v. E. C. Knight Company: sugar refining companies operated locally, could not be regulated by national government

• 1929, stock market crashed, led to Great Depression

• Poverty and unemployment widespread

• Local organizations unable to respond adequately

The New Deal




The New Deal• 1933: President Franklin D.

Roosevelt introduced New Deal

• Series of national programs to address needs of Americans

• Some assisted unemployed, elderly

• Others provided jobs









• Major change in role of national government

• National and state governments worked together to meet crisis

• Federalism under New Deal known as cooperative federalism









• Major change in role of national government

• National and state governments worked together to meet crisis

• Federalism under New Deal known as cooperative federalism

• Major shift caused court challenges

• Opponents argued constitutional powers to tax and regulate commerce did not give power to enact many New Deal programs

• Supreme Court upheld most New Deal legislation

• 1960s: President Lyndon Johnson expanded powers of national government

• Great Society program: initiatives aimed at eliminating poverty and social inequity

• Creative federalism: released federal funds to states to achieve national goals

• 1965: Medicaid provides free health care for poor

The Great Society

• 1960s: President Lyndon Johnson expanded powers of national government

• Great Society program: initiatives aimed at eliminating poverty and social inequity

• Creative federalism: released federal funds to states to achieve national goals

• 1965: Medicaid provides free health care for poor

The Great Society

• If national government determines states not fully cooperating, funding withheld

• Threat of losing money powerful tool

• Grant system increased size, cost of national government

• Urban renewal grants increased from $212 million (1964) to more than $1 billion (1970)

Throughout much of U.S. history, the powers of the national government expanded. Beginning in the 1980s, many political leaders worked to reverse this trend by returning authority to state governments. This era is known as new federalism.

New Federalism


New Federalism

• 1980s: President Ronald Reagan supported returning power to the states

• Believed national government less effective than state governments in providing services to people

• Reagan worked to reduce size of government by cutting national grant money to states

The Reagan Years


New Federalism

• 1980s: President Ronald Reagan supported returning power to the states

• Believed national government less effective than state governments in providing services to people

• Reagan worked to reduce size of government by cutting national grant money to states

The Reagan Years

• 1994 elections: Contract with America—Republican campaign promise to achieve specific goals

• Central idea: devolution—returning power to states

• Reduce size and power of national government by eliminating costly federal programs

The Devolution Revolution

Debating the Issue: Federalism and Hurricane Katrina

What roles should local, state, and national governments play inresponding to natural disasters such as Hurricane Katrina?

In August 2005 Hurricane Katrina devastated New Orleans, Louisiana, and the Gulf Coast. As the storm approached, officials at all levels of government prepared. Mayor Ray Nagin of New Orleans ordered a mandatory evacuation of the city. The governors of Louisiana andMississippi declared a state of emergency. The national government authorized the Federal Emergency Management Agency to respond tothe storm. On August 29, Katrina made landfall as a strong Category 4 storm. The results were catastrophic. Katrina and storm-related flooding took more than 1,800 lives and caused an estimated $81 billion in damages. In the storm’s aftermath, there was widespread debate over government response to the disaster.

Debating the Issue

Section 3 at a Glance

Federalism Today• Fiscal federalism is a system in which the national government uses

grants and mandates to influence state policy to achieve national ends.

• Grants-in-aid from the national government to the states have increased the influence of the national government.

• Today American federalism continues to evolve in the face of newissues.

The beginning of the twenty-first century marked yet another shift in relations between the states and the nation. In the wake of the September 11, 2001, terrorist attacks, the need for increased national security led to an expansion in the powers of the government.

• Fiscal federalism: power of federal government to influence state policies within context of spending, taxing, and providing aid in federal system

• Goes back to Land Ordinance of 1785, took shape during 1900s

• National government gave land to states for establishing schools

Roots in Confederation

• 20th century: power of national government expanded with increased use of grants-in-aid

• Includes money, other resources national government provides to pay for state and local activities

• Low-income housing, community arts programs, energy assistance, disaster preparedness

Latest Trend

Fiscal Federalism

Categorical Grants• Most federal aid is distributed to

states in form of categoricalgrants

• Can only use for specific purpose, such as building new airport, crime-fighting in certain areas

• Used to provide money to areas affected by natural disaster

Grants and Mandates





Grants and MandatesBlock Grants

• Block grants: federal grants given for more general purposes, broad policy areas

• Welfare, public health, community development, education

• States prefer block grants; designed to allow state to spend money as it sees fit





Grants and MandatesBlock Grants

• Block grants: federal grants given for more general purposes, broad policy areas

• Welfare, public health, community development, education

• States prefer block grants; designed to allow state to spend money as it sees fit

In the 1980s, President Reagan used block grants in an attempt to decrease the size and influence of the national government.

Federal MandatesState and local governments are usually pleased to receive money from the national government, but the national government often distributes money with strings attached.

Grants and Mandates (cont’d.)

Federal MandatesState and local governments are usually pleased to receive money from the national government, but the national government often distributes money with strings attached.

Grants and Mandates (cont’d.)

• Federal mandates: demands on states to carry out certain policies as a condition of receiving grant money

• Particularly important in enacting civil rights and environmental policies• School busing, desegregation, affirmative action—results of federal mandates• Environmental regulations come from national government as well• Clean Air Act of 1970: national mandate requiring states to meet national air-

quality levels• In exchange for grant money, states required to create programs to reduce

pollution or risk losing federal funding

New issues challenge American federalism. Political debates over how to best address key policy areas drive new changes in our federal system.

Issues in Federalism Today



Poverty• 1996: Congress passed welfare

reform law, gave states authority to manage own systems

• Since reforms, number of people on welfare has decreased

• Some credit decrease to flexibility, creativity when handled by states

• Others say decrease represents strong economy, question whether states will be able to continue to meet needs of poor



Poverty• 1996: Congress passed welfare

reform law, gave states authority to manage own systems

• Since reforms, number of people on welfare has decreased

• Some credit decrease to flexibility, creativity when handled by states

• Others say decrease represents strong economy, question whether states will be able to continue to meet needs of poor

Homeland Security• Department of Homeland Security

formed after 9/11 terrorist attacks

• Local and state governments worked alongside Homeland Security to respond to Hurricane Katrina

• In aftermath of storm, some question whether better leadership and cooperation between levels of government might have saved more lives

Environment• Many reasons why efforts to protect environment seen as responsibility of

national government

• Congress has been asked to limit reach of EPA in favor of local efforts

Issues in Federalism Today (cont’d.)


national government



Immigration• National government handles policies, citizenship, border protection

• Several states have international borders and take immigration-related responsibility—education costs, health and social services, low-cost housing


national government



Immigration• National government handles policies, citizenship, border protection

• Several states have international borders and take immigration-related responsibility—education costs, health and social services, low-cost housing

Health Care

• Americans turning to state, national governments for solutions to rising costs

• Some think U.S. may be on the verge of health care crisis

• Which level should take lead on issues—state or national?

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