1. CHAPTER 3
FEDERALISM

2. I. DEFINING FEDERALISM A. Government Structure Unitary System
Confederate System
Federal System

3. DIAGRAMS OF SOVEREIGNTY

4. I. DEFINING FEDERALISM B. Characteristics of Federalism
Decentralization of Power
10th Amendment
Checks and Balances

5. B. Characteristics of Federalism
2. Diversity of Power
National State County City
Community Neighborhood
Increased political activity

6. B. Characteristics of Federalism
3. Overlapping Power
Implementation and funding of federal decisions
Examples: MADD, law enforcement, emergency preparedness

7. B. Characteristics of Federalism
4. The “Tug-of-War” Effect
Decentralists (states’ rights)
10th Amendment
Jeffersonian views
Centralists (national supremacy)
14th Amendment
Hamiltonian view
McCullough v Maryland (1819)

8. I. DEFINING FEDERALISM C. Constitutional Structure of Federalism
1. Powers of the National Govt
Expressed Powers
Article I, Section 8
Amendments (e.g. 16th)
Executive (Article II, Section 2)
Implied Powers
Elastic clause (“necessary and proper” clause)
commerce clause
Inherent Powers

9. C. Constitutional Structure of Federalism
2. Supremacy Clause
Article VI, Section 2
Federal supremacy over state law

10. C. Constitutional Structure of Federalism
3. Powers of the states
10 Amendment
Concurrent Powers
Prohibited Powers
expressly denied (Article 1, Section 9; Amendments 1-8)
not delegated
Powers denied to state governments
Article I, Section 10
Amendments 13-15, 19, 24, 26

11. C. Constitutional Structure of Federalism

12. C. Constitutional Structure of Federalism
4. Interstate Relations
Full Faith and Credit Clause (Article IV, Section 1)
Interstate Privileges and Immunities (Article IV, Section 2)
Interstate extradition (Article IV, Section 2)
Interstate compacts

13. C. Constitutional Structure of Federalism
5. Guarantees by the Federal Government to the States
republican form of government
protection from foreign invasion and domestic violence
territorial integrity (statehood)
taxes must be levied uniformly across states
equality in the Senate

14. I. DEFINING FEDERALISM D. Why Federalism? checks the growth of tyranny
unity without uniformity
encourages experimentation
keeps government closer to the people
Other reasons:
Size and regional isolation
Differences in political culture

15. I. DEFINING FEDERALISM D. Why Federalism? criticisms:
confusion over areas of responsibility
local interests override progress on national issues

16. II. THE CHANGING FACE OF FEDERALISM
A. Initial Federalism
1. Federal Republic
popular sovereignty at all levels
National power
State power

17. II. THE CHANGING FACE OF FEDERALISM
2. Elastic Clause (Article I, Section 8)
Nationalists (Hamilton)
broad construction/implied powers
States’ Righters (Jefferson)
strict construction/limited federal power (enumerated only)
Example of conflict:
National Bank of the United States
Hamilton’s financial program
Development of political parties
Federalists
Republicans
primary argument over the scope of federal and state power

18. II. THE CHANGING FACE OF FEDERALISM
B. Building National Supremacy ( )
McCulloch v. Maryland (1819)
federal supremacy
Gibbons v. Ogden (1824)
“commerce” clause
Nullification
Virginia and Kentucky Resolutions
Nullification Crisis
The Civil War
14th Amendment
equal protection clause
incorporation

20. II. THE CHANGING FACE OF FEDERALISM
C. Layer Cake Federalism (1870’s-1930’s)

21. II. THE CHANGING FACE OF FEDERALISM
“Dual Federalism”
intrastate vs. interstate commerce)
Munn v. Illinois (1877)
equal protection and due process
Wabash v. Illinois (1886)
“commerce” clause
Interstate Commerce Commission (1887)
Progressive Era ( )
attempt to push social reforms at the national and state level
16th Amendment (income tax)
17th Amendment (direct election of Senators)
18th Amendment (Prohibition)
19th Amendment (women’s suffrage)

22. II. THE CHANGING FACE OF FEDERALISM
D. Marble Cake Federalism (1930’s-Present)

23. II. THE CHANGING FACE OF FEDERALISM
Three Areas of expansion of federal power
Interstate Commerce
regulation and taxing powers
Fiscal Federalism
federal “activism”
14th Amendment
selective incorporation

24. II. THE CHANGING FACE OF FEDERALISM
Grants-in-Aid
categorical grants (e.g. land grant colleges, transportation, flood control, etc.)
rapid expansion of aid system
federal money, state implementation
what makes them so appealing?
huge budget surpluses in the 1880’s
creation of the federal income tax
Federal Reserve System
intergovernmental lobby/local politics
creates political demand for spending across all states
e.g. Homeland Security

25. II. THE CHANGING FACE OF FEDERALISM
Shifting control toward the federal government
1960’s—fiscal federalism (federal activism)
shift from state issues to broader national goals
increase in grants as share of state budgets
efforts by states to loosen federal strings
block grants
general purpose with less strings attached
—only five created
revenue sharing
State and Local Fiscal Assistance Act (1972)
no matching fund requirement/any purpose

26. II. THE CHANGING FACE OF FEDERALISM
Political reality
block grants and revenue sharing failed to remove federal strings
federal grants based on formulas that rely on 10-year census numbers distort funding
Homeland Security
federal money an increasing percentage of state revenue
shift in congressional orientation from local to federal needs
weakening of national parties

29. II. THE CHANGING FACE OF FEDERALISM
increasing federal control
conditions-in-aid (“strings attached”)
expanded dramatically beginning in the 1970’s
mandates (“unfunded mandates”)
Examples:
civil rights law
environmental law
healthcare
education
Enforcement
sanctions
court orders
Waivers
role of federal courts in expanding mandates

30. DEVOLUTION (New Federalism)
Reagan Administration
organize categorical grants into six broad block grants
less strings, but less money to the states
more state spending, replacing federal rules
104th Congress (1995)
cut federal spending
reduce federal regulation
shift more responsibility to the states

31. DEVOLUTION (New Federalism)
Issues/examples:
welfare reform
Aid to Families with Dependent Children (AFDC)
no federal funding guarrantees
management turned over to states
funding through federal block grants
Temporary Assistance for Need Families (TANF)
healthcare
Medicaid
Affordable Healthcare Act (2010)
education
No Child Left Behind (2001)

32. DEVOLUTION (New Federalism)
Federal Courts and devolution :
SC supported federal regulation of almost anything under the commerce clause
1995-present
more conservative SC has put some checks on the extension of federal power
Examples:
US v. Lopez (1995)
guns in public schools
limits federal regulatory power under commerce clause

33. DEVOLUTION (New Federalism)
US v. Morrison (2000)
1994 Violence Against Women Act
commerce clause
limits federal regulatory power
Printz v. US (1997)
overturns parts of the Brady Bill
limits federal mandate on background checks