Section 1: Dividing Government Power

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Chapter 4 Federalism

• Section 1 Dividing Government Power
• Section 2 American Federalism Conflict and
  Change
• Section 3 Federalism Today

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Section 1 at a Glance

• Dividing Government Power
• After much debate, the Framers designed a federal
  system that they hoped would strengthen the
  national government and protect states rights.
• The Constitution divides power between two levels
  of government national and state governments.
• The Constitution delegates certain powers to the
  national government.

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Section 1 at a Glance (contd.)

• Dividing Government Power (contd.)
• The powers granted to state governments are
  called reserved powers.
• Concurrent powers may be exercised by the
  national and state governments.
• States must give full faith and credit to the
  laws of other states.

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Dividing Government Power
Main Idea The Framers of the Constitution
established a federal system that divides powers
and responsibility between the national and state
governments.

• Reading Focus
• Why did the Framers choose federalism?
• What powers does the national government have?
• What powers do state governments have?

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Dividing Government Power

• Reading Focus (contd.)
• What powers are shared by both the national
  government and the state governments?
• How does the Constitution limit the powers of the
  state and national governments?
• How does the Constitution guide the relationships
  between the nation and the 50 states?

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Federalism in Action
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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 obvious
choice.

• New nation struggled to function as confederation
• Without power to raise funds, national government
  not strong enough to deliver stability or
  economic unity
• Unitary ruleall power held by strong central
  authorityout 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 governmentHobbes, Rousseau, Smith

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Why Federalism (contd.)

• 1748 Spirit of the Laws, Baron de Montesquieu
• Dividing power best way to defend peoples
  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
  governmentstate, national
• All powers dealing with states common
  interestsnational defense, control over
  currencyassigned to national government
• All other powers remained with states

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Identifying Supporting Details Why did the
Framers choose federalism?
Answer(s) to establish a stronger national
government without removing too much power from
the states
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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.
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• Implied Powers
• Implied powers not specifically listed but
  logical extensions of expressed powers
• Article I, Section 8necessary 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

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Contrasting How do expressed, implied, and
inherent powers differ from one another?
Answer(s) Expressed powers are enumerated in the
Constitution. Implied powers are not enumerated,
but are logically suggested by expressed powers.
Inherent powers have been recognized as belonging
to all sovereign nations
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• 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
  clausepowers not delegated to the United
  Statesreserved 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

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Summarizing What powers does the Tenth Amendment
give to the states?
Answer(s) It gives states those powers that are
neither given to the United States nor prohibited
to the states.
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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.

• 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

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Identifying Supporting Details Name three powers
that are held by both the national government and
the state governments.
Answer(s) possible answerany three of the
following collect taxes, establish court
systems, make and enforce laws, build roads,
provide education, borrow and spend money
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The Limits of Power

• 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

• Limits 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 governmentsto 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

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Summarizing What limits did the Framers place
on state governments?
Answer(s) States may not coin money, tax
imports/exports, have armies, or enter into
treaties.
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Nation and State Relations

• 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

• The 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.
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Relations between the States

• 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

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• 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

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Summarizing How does the full faith and credit
clause affect relations among states?
Answer(s) It compels each state to recognize
public acts, official records, and judicial
proceedings of other states..
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Section 2 at a Glance

• American 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.

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American Federalism Conflict and Change
Main Idea Over the past 200 years, conflicts over
the balance of power between the national and
state governments have led to changes in American
federalism.

• Reading Focus
• What role does the Supreme Court play in American
  federalism?
• How was government power divided in dual
  federalism?
• What events caused the expansion of national
  power in the twentieth century?
• What is new federalism?

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Crisis at Fort Sumter
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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?

• 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
• Courts 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

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Summarizing How does the Supreme Court serve as
a referee in the federal system?
Answer(s) by settling disputes between the
national government and the states
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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.

• 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

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Dual Federalism (contd.)

• The Marshall Court
• 1819, McCulloch v. Maryland bank dispute reached
  Supreme Court
• Court ruled in favor of nations authority to
  start bank
• Chief Justice John Marshall argued charter
  justified by Constitutions necessary and proper
  clause
• Bank would help nation properly execute powers to
  regulate commerce and currency

• 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

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• A House Divided (contd.)
• 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

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• 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

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Identifying Cause and Effect How did the Civil
War resolve the issue of secession?
Answer(s) Union victory in the Civil War firmly
established national supremacy. States could no
longer claim the right to secede.
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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 Courts decision led to the expansion
of national power.
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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
national government.

• 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

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• Turn-of-the-Century Reforms (contd.)
• 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

• New laws expanded national governments 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

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The New Deal

• 1929, stock market crashed, led to Great
  Depression
• Poverty and unemployment widespread
• Local organizations unable to respond adequately

• 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 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

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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

• 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)

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Summarizing How did New Deal and Great Society
programs change federalism?
Answer(s) They marked a major change in the role
of the national government, leading to
cooperative federalism, which encouraged the
national and state governments to work together
to provide services that had previously been
provided by state or local governments.
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New Federalism
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.
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Identifying Supporting Details How did Ronald
Reagan attempt to reduce the influence of the
national government?
Answer(s) by cutting national grant money to
states and by working to define less specifically
how federal money could be used by states
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Debating the Issue Federalism and Hurricane
Katrina
What roles should local, state, and national
governments play in responding 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 and Mississippi declared a state of
emergency. The national government authorized the
Federal Emergency Management Agency to respond to
the 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 storms
aftermath, there was widespread debate over
government response to the disaster.
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Debating the Issue
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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 new issues.

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Federalism Today
Main Idea Today the balance of power between the
states and the national government is
characterized by a system of grants and mandates,
as well as by a number of key policy areas.

• Reading Focus
• What is fiscal federalism?
• How does the national government use grants and
  mandates to influence state policies?
• What issues most influence American federalism
  today?

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A Need for National Power
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Fiscal Federalism
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.
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Making Inferences How might grants-in-aid
increase the national governments power?
Answer(s) When grants are issued with mandates
they are the national governments chief tool for
aiding and influencing states and communities.
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Grants and Mandates

• Categorical Grants
• Most federal aid is distributed to states in form
  of categorical grants
• 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

• Block 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.
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Grants and Mandates (contd.)
Federal Mandates State and local governments are
usually pleased to receive money from the
national government, but the national government
often distributes money with strings attached.

• 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
  actionresults 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

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Making Generalizations What types of federal aid
do the states generally prefer? Why?
Answer(s) block grants, because they are
provided for general purposes
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Issues in Federalism Today
New issues challenge American federalism.
Political debates over how to best address key
policy areas drive new changes in our federal
system.

• 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

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Issues in Federalism Today (contd.)

• 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

• Immigration
• National government handles policies,
  citizenship, border protection
• Several states have international borders and
  take immigration-related responsibilityeducation
  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 issuesstate or
  national?

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Making Inferences Why do you think some people
seek a federal solution to poverty?
Answer(s) possible answerThey dont think the
states will be able to continue to meet the needs
of the poor.
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We the People The Citizen and the Constitution

• Laboratories of Democracy
• From health care to taxes and education, the
  states have a high degree of control over policy
  areas that affect the daily lives of their
  citizens. In American federalism, the states are
  often testing grounds for new approaches to
  meeting the needs of the people. Over time, many
  state policies have influenced national policy.
• Why have the states been called laboratories
  of democracy?
• What democratic methods have been tested in the
  states?
• How have states experimented with innovative
  environmental policies?
• How have the states contributed to health care
  initiatives?