1. Chapter 3: Federalism

2. Learning Objectives Why does the US have federalism?
How has American federalism evolved from the founding to the present?
Which level of government does federalism favor – national or state?
Where is sovereignty located in the American political system?
How is power divided between the national government & the states under the Constitution?
What competing values are at stake in federalism?
Who should decide which matters ought to be governed mainly or solely by national laws?

3. Federalism = Federal System
Federalism: system in which national government shares power with state/local governments
+ view: states can stand up against federal corruption
- view: states can get away with corruption
In US history, the most persistent source of political conflict has been between national & state governments

4. Why do we practice federalism in the US
Why do we practice federalism in the US? The line of power begins with the citizens.

5. Lines of Power in a…
Sovereignty held by national government; states dependent on its will

6. Lines of Power in a…
States are sovereign; national government is allowed to do only what states permit

7. Lines of Power in a…
Sovereignty is shared

8. 3 Systems of Government: Recap
Unitary: sovereignty is held by federal government; states are dependent on its will
Confederation: states are sovereign; federal government is allowed to do only what the states permit
US under AOC
Federal = Federalism: sovereignty is shared between states & federal government
US under Constitution

9. The Cakes Dual federalism = layer cake
Cooperative federalism = marble cake

10. 3 Types of Federalism Dual federalism (1789-1932)
National government supreme in its sphere & states supreme in theirs
2 spheres should be kept separate
Cooperative federalism ( )
Great Depression led to this
Overlap in powers of federal & state governments
Devolution (1968-today): effort to slow growth of federal government by returning many functions to the states

11. Types of Powers in the Constitution
Delegated/Enumerated: specifically assigned in the Constitution
Implied: not specifically assigned but deemed necessary & proper
Inherent: powers governments have historically possessed
Concurrent: powers federal & state governments have simultaneously
Reserved: all powers not specifically delegated to the federal government are reserved (saved) for the states
Prohibited: powers the government cannot exercise

12. Notes: marriage/divorce bullet under Reserved Powers has changed due to 2015 Supreme Court case Obergefell v. Hodges

13. Federal v. State Powers Federal State Amendment process Declaring war
Military
Foreign policy & treaties
Printing money
Regulating interstate commerce
Maintain postal services
State
Ratifying amendments
Conducting elections
Establishing local governments
Regulating intrastate commerce
Licensing
Police power

14. 10th Amendment
“The powers not delegated to the US by the Constitution, nor prohibited by it to the States, are reserved to the States respectively, or to the people”
Assumed during Constitutional Convention
Added to the Constitution to make the assumption clear

15. “Elastic” = “Necessary & Proper” Clause in Article I
“Congress shall have Power... To make all Laws which shall be necessary & proper for carrying into Execution the foregoing Powers, & all other Powers vested by this Constitution in the Government of the US, or in any Department or Officer thereof.”
Hamilton & Marshall wanted federal government’s power loosely defined
Jefferson wanted federal government’s power narrowly defined
Has increased federal government’s power over time

16. McCulloch v. Maryland (1819)
Background:
Congress created Second Bank of the US in 1816
It had a branch in Maryland, which Maryland tried to tax
McCulloch, the bank’s cashier, refused to pay the tax
Questions: Could Congress create a National Bank? Could states tax national programs?
Decision: Congress has the power to create the Bank since it is necessary & proper (implied power); states cannot tax in that manner since they are not supreme
Increased federal government’s power

17. Gibbons v. Ogden (1824) Background:
Many states required out-of-state steamboat owners to pay high fees to use their waterways
NY allowed only 2 NY owners to use their waterways
An owner trying to trade in NY & NJ argued that this was unfair
Question: Could states interfere with interstate commerce?
Decision: Only Congress can control interstate commerce
Increased federal government’s power

18. Nullification Nullify: declare null
During 1700s & 1800s, Kentucky, Virginia, & South Carolina declared various national laws unconstitutional; led to Civil War
Civil War settled the issue that states cannot do this
Increased federal government’s power

19. A Devolution Revolution?
Most Americans favor devolution, but not if it means cutting government programs that benefit most citizens
In 2011, many states faced debts, causing them to consider which responsibilities are theirs & which belong to federal government

20. Actions Citizens Can Take Within States
Initiative: allows voters to place a legislative measure (vote) directly on their state’s ballot via a petition (~25 states)
Referendum: procedure that enables voters to reject a measure adopted by their state legislature (~25 states)
Recall: procedure that enables voters to remove an elected official from office via a petition (~17 states)

21. Fiscal Federalism: Grants-in-aid
Financial assistance from federal government to states
2 types
Categorical grant: specific purpose; comes with restrictions on how it should be spent
Block grant: broad purpose; few strings attached; began in 1960s

22. Fiscal Federalism
Conditions of aid: what states must do to receive a grant-in-aid
Mandates
Federal government tells states what it must do – not optional
Apply whether or not aid is accepted
Most concern civil rights & environmental protection
Mandate: school-desegregation plans are best-known example

23. Federal Grants to State & Local Governments in 2011

24. The Changing Purpose of Federal Grants to State & Local Governments

25. United States v. Lopez (1995)
How does this compare to
McCulloch v. Maryland?
Gibbons v. Ogden?
Interview with Lopez’s lawyer: span.org/video/? /us-v-lopez