CHAPTER 3

FEDERALISM

I. DEFINING FEDERALISM

A. Government Structure

1. Unitary System

2. Confederate System

3. Federal System

DIAGRAMS OF SOVEREIGNTY

I. DEFINING FEDERALISM

B. Characteristics of Federalism

1. Decentralization of Power• 10th Amendment

• Checks and Balances

B. Characteristics of Federalism

2. Diversity of Power

National State County City

Community Neighborhood

Increased political activity

B. Characteristics of Federalism

3. Overlapping Power Implementation and funding of federal

decisions Examples: MADD, law enforcement,

emergency preparedness

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)

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

2. Supremacy Clause Article VI, Section 2

Federal supremacy over state law

C. Constitutional Structure of Federalism

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

C. Constitutional Structure of Federalism

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

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

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

I. DEFINING FEDERALISM

D. Why Federalism? criticisms:

confusion over areas of responsibility local interests override progress on national

issues

II. THE CHANGING FACE OF FEDERALISM

A. Initial Federalism 1. Federal Republic

popular sovereignty at all levels National power State power

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

II. THE CHANGING FACE OF FEDERALISM

B. Building National Supremacy (1789-1860) 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

II. THE CHANGING FACE OF FEDERALISM

C. Layer Cake Federalism (1870’s-1930’s)

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 (1900-1917)

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)

II. THE CHANGING FACE OF FEDERALISM

D. Marble Cake Federalism (1930’s-Present)

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

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

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 1966-1980—only five created

revenue sharing State and Local Fiscal Assistance Act (1972) no matching fund requirement/any purpose

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

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

DEVOLUTION(New Federalism)

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

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)

DEVOLUTION(New Federalism)

Federal Courts and devolution 1937-1995:

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

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