1. I Like Cake: Understanding Federalism
AP Gov’t
Unit 1
Mrs. Boué and Mr. Hedglin

2. Who’s In Charge? Organizing Power in Governments
Governments can distribute power (who makes the rules) in one of three ways:
In a UNITARY SYSTEM of GOVERNMENT, all of the powers belong to one single, central entity. The central government does not have to share power with any other group.
Ex: Great Britain – Parliament gets to make all the rules.
State governments have power over local governments in this way

3. In a FEDERAL GOVERNMENT, powers are shared between a central government AND local governments. Neither group gets to take power away from the other.
The United States is an example of a federal government. The national government (in Washington D.C.) has to share its powers with the states
In a CONFEDERATION, there is only a loose association of independent states. These states keep most of the power and only let the central organization have a few, limited powers.
Ex: The European Union and the Confederate States of America

4. What is Federalism?
Political system where the powers of gov’t are divided between a national gov’t & regional (state & local) gov’ts
One of six basic principles embodied in the US Constitution
The term “federalism” is NOT found in Constitution but is clearly defined in the delegated, concurrent, & reserved powers of the national & state gov’ts

5. Powers of the NATIONAL Government
The National government (in Washington D.C.) only has powers that the Constitution grants to it. These powers are called DELEGATED powers.
There are THREE types of Delegated powers:
EXPRESSED (or ENUMERATED) Powers
IMPLIED Powers
INHERENT Powers

6. EXPRESSED POWERS – These are things that the Constitution specifically says the national government can do. These include:
Printing Money
Keeping an army
Declare War
Regulate Interstate Commerce
IMPLIED POWERS – In Article I, Section 8 of the Constitution, Congress gets the right to “make all laws which shall be necessary and proper” to carry out their powers.
This is known as the “necessary and proper” or “elastic” clause. These powers include:
Creating an Interstate Highway system
Desegregating public facilities

7. INHERENT POWERS – These are things that the National government has a right to do because it represents us to the rest of the world. The Constitution doesn’t specifically mention them, but all national governments have these rights:
Regulate Immigration
Regulate foreign trade
Ability to acquire territories

8. Powers of the STATE Government
Powers belonging to the states are known as RESERVED POWERS. States get any powers that are not specifically granted to the National government and are not specifically forbidden to states (from 10th Amendment):
Regulate intrastate commerce
Establish local govt’s
Establish public school systems
Administer elections
Protect the public’s health, welfare, & morals
Regulate corporations
Establish licensing requirements for certain regulated professions

9. National & State Powers Concurrent (Powers that belong to both the States and the Fed Gov’t)
Levy taxes
Borrow money
Spend for general welfare
Establish courts
Enact & enforce laws
Charter banks

10. When Powers Come into Conflict: The Supremacy Clause
What happens when there is a dispute between the nation gov’t and state gov’t about who has the power to do what? We usee the SUPREMACY CLAUSE, which defines the supreme laws of the land in this order:
1) The Constitution
2) The laws of the national government
3) Treaties

11. How has the Supremacy Clause been upheld?
1) McCulloch v. Maryland
When Marshall rules in favor of the bank, he says that as long as national laws stay within the Constitution they can PREEMPT state and local laws
Also confirms IMPLIED POWERS (N & P Clause)
2) Gibbons v. Ogden
Says nat. government can regulate almost all commercial activity (expands their right to interstate commerce)
3) Civil War
4) Civil Rights Movement

12. Interstate Relations Article IV
Federalism means that states have obligations to each other, too…
Full Faith and Credit Clause (Article IV)
Privileges and Immunities Clause (Article IV)
Extradition: States are required to return fugitives to a state from which they have fled to avoid criminal prosecution at the request of the governor of the state.

13. The Evolution of Federalism
Like all sorts of other stuff, FEDERALISM has evolved over time.
Two types of FEDERALISM in
American History:
DUAL FEDERALISM (layer cake)
COOPERATIVE FEDERALISM (marble cake)
FISCAL FEDERALISM is an example of cooperative federalism

14. Evolution of Federalism
Dual Federalism ( )
Layer cake Federalism
National & State govt’s remaining supreme within their own sphere of influence
Each level of gov’t seen as separate from the other
National gov’t over national matters like foreign policy issues
State gov’ts over state matters like educating their citizens

15. Evolution of Federalism
Cooperative Federalism (1930s to Present)
Marble cake federalism
National & state gov’ts share policymaking and cooperate in solving problems
Cooperative federalism involves
Shared Costs
Federal guidelines (Federal $$ comes with strings attached)
Shared Administration
Grew from policies of New Deal era and the need of the federal gov’t to increase gov’t spending and public assistance programs during the Great Depression
EX: Building of national interstate system
EX: LBJ’s Great Society
EX: School districts currently receiving federal money

16. Evolution of Federalism
Fiscal Federalism (1990s to Today)
The national gov’ts patterns of spending, taxation, & providing grants to influence state and local gov’ts
National gov’t uses fiscal policy to influence the states through granting or withholding money to pay for programs

17. Evolution of Federalism
Examples of Fiscal Federalism
GRANTS-IN AID PROGRAMS – Federal funds appropriated by Congress for distribution to state and local gov’ts
1) Categorical grants
-- grants that have a specific purpose defined by law
-- may require matching funds from state or local gov’ts
-- Usually come with some sort of strings attached:
Cross over sanctions – using federal money in one program to influence policy in another
Ex: Tying highway money into raising the drinking age
Cross cutting requirements – Conditions of a grant are extended to all activities supported by federal funds
Ex: Federal grants may establish certain conditions that extend to all activities supported by federal funds, regardless of their source. The first and most famous of these is Title VI of the 1964 Civil Rights Act, which holds that in the use of federal funds, no person may be discriminated against on the basis of race, color, or nationality.

18. Two styles of Categorical grants
Project grants: given for specific purposes with a competitive application process and awarded on the basis of merit Ex: college research grants Formula grants: Distributed according to a formula specified in Congressional legislation Ex: Medicaid

19. Evolution of Federalism
Examples of Fiscal Federalism
2) Block grants
-- general grants which can be used for a variety of purposes within a broad category such as education, health care, or public services
-- fewer strings attached so states & local gov’ts have more control over $$$
-- State and local governments prefer these over categorical grants

20. MANDATES
MANDATES are requirements that direct states or local governments to comply with federal rules under the threat of penalties or as a condition of receiving a grant.
Ex.: Medicaid – State has to pay for some of this, and it drains states budgets
Sometimes these mandates are costly, but the federal government doesn’t always help defray the costs of complying (unfunded mandate):
Ex: Americans with Disabilities Act 1990 mandates that all public buildings must be accessible to persons with disabilities
*Unfunded Mandate Reform Act (1994)
imposed limitations on Congress’s ability pass
unfunded mandate legislation (Republican Congress)