The document discusses the origins and evolution of federalism in the United States, including the different perspectives at the Constitutional Convention, the division of powers between the national and state governments, and how the Supreme Court has interpreted these divisions over time. It covers major eras like the rise of national power under John Marshall, dual federalism, cooperative federalism during the New Deal, and the modern concept of new federalism beginning in the 1980s. Key Supreme Court cases and amendments helped shape how federalism operates in practice in the American system.

1. Chapter 3
Federalism

2. Background
There were 3 main
perspectives among the
delegates to the
Philadelphia Meeting
Unitary Government
Confederation
Federal Government

3. The Powers of National
& State Governments
What Does the Constitution State?

4. Enumerated Powers (Article I, Sec. 8)
Power to tax, borrow, spend, regulate
interstate commerce, coin money,
declare war, raise & maintain an army,
conduct foreign affairs and create a
national court system
Necessary & Proper Clause
Implied Powers

5. Article VI declares the Constitution is the “supreme
law of the land” and that the national government
prevails in the case of a conflict between national &
state government

6. State Powers (Reserve/Police Powers) are not listed
in the Constitution...Why?

7. State Powers
“Time, Place and Manner” for Elections
Guarantees 2 Senators
States Must Appoint Electors to Vote for President
Guarantees Republican Form of Government
Guarantees States Protection from Domestic
Rebellion or Foreign Attack
Ratify proposed amendments to U.S. Constitution

8. 10th Amendment
“The powers not delegated to the United States by the
Constitution, nor prohibited by it to the States, are
reserved for the States respectively, or to the people.”

9. Nature of
Federalism
CONFLICT BETWEEN
“Necessary & Proper” Clause
(Implied Powers)
vs. Debate Over What
is NOT Stated
10th Amendment

10. The powers granted to the states via the 10th
Amendment are known as police or reserve powers.
They include the power to legislate for the public
health, safety, and morals of their citizens.

11. Concurrent Powers
Powers given to both
national and state
governments
Power to tax
Power to borrow
money
Power to establish
courts

12. Powers Denied
States:
Entering into treaties with foreign nations
Coin money
Impairing obligations of contracts
Entering compacts without Congressional approval
National:
Congress may not discriminate against a state in regulating commerce
Congress cannot tax exports
Congress cannot ban slave trade (1808)
Deny writ of habeas corpus, pass law of attainder or ex post facto law
(both)

13. Relations Among the
States
Full Faith & Credit, Privileges and
Immunities and Extradition

14. Relations Among States
Supreme Court has jurisdiction
over cases between states
Full Faith & Credit
“Public Acts, Records and
Judicial Proceedings”
Privileges & Immunities
Rights of Citizens from
Other States
Extradition

15. Interstate Compacts
Interstate Compacts are
Contracts between states
that carry the force of law
Must have approval of
Congress
More than 200 exist today
Driver’s License Compact

16. Evolution of Federalism
It is important to understand that the application
of federalism is determined by the courts and
ultimately the Supreme Court. The federal
courts interpret the U.S. Constitution. If a
question arises regarding which level of
government should exercise a certain right, it is
the courts that make that determination. Thus,
the courts set the parameters within which
federalism will operate. The Supreme Court is
the “umpire” of the federal system.

17. Evolution of Federalism
The U.S. has gone through 5 Eras:
Rise of Nat’l Power (Marshall Court 1801-35)
Dual Federalism (Taney Court 1835-63)
Post Civil War Confusion (1863-1930)
Cooperative Federalism (1930-1980)
New Federalism (Began in 1980)

18. Federalism & the
Marshall Court
McCulloch v. Maryland (1819)
Gibbons v. Ogden (1824)
THE RISE OF NATIONAL POWER

19. McCulloch v. Maryland (1819)
In 1816, Congress chartered Second Bank of
U.S.
In 1818, Maryland passed a law that required
the bank to buy stamped paper from the state,
pay a $15,000 tax or go out of business
McCulloch, head cashier of the bank, refused to
pay the tax
Maryland court ruled in favor of Maryland
McCulloch appealed to the Supreme Court

20. U.S. Supreme
Court’s Decision
2 QUESTIONS
Does Congress have the
power to charter a
bank?
IMPLIED POWER
If so, could a state tax
it?
SUPREMACY CLAUSE

21. Doctrine of
Implied Powers
Supreme Court rules that it is implied
that Congress can create a bank. The
power is derived from enumerated
powers to tax, coin money and
borrow.
Also, state law cannot interfere with
functioning of the national government

22. Gibbons v. Ogden
(1824)
1. New York & National Govt are
granting permits to use the Hudson
River to transports goods & people.
2. New Jersey & Conn also wants to
control shipping in lower Hudson.
3. Congress regulates interstate
commerce but states regulate intrastate
commerce

23. Ruling
What is the scope of Congress’s power to regulate
interstate commerce? (Need a working definition of
commerce to answer this.)
SC ruled that commerce includes all commercial
activity and has no limits except what is specifically
stated in the Constitution
New York’s actions interfered with interstate
commerce and were therefore unconstitutional
(violates supremacy clause)

24. The Era of Dual
Federalism
1835-1863
Taney Court will scale back definition of
interstate trade, therefore, decreasing national
power in the area of commerce

25. What is Dual Federalism?
Belief that the national
government should not
exceed its
constitutionally
enumerated powers.
And, as stated in the
10th amendment, all
other powers are
reserved for the states
or the people.

26. The Question of Slavery
Dred Scott v. Sandford (1857)
Lived in Wisconsin at one time. This is free state under the
Missouri Compromise.
Court ruled that the Missouri Compromise was unconstitutional
because Congress lacked the authority to ban slavery.
Only the states had this power.
Emancipation Proclamation....13th Amendment
Ruling scaled back national power in favor of state power
Following the Civil War (1863-1930‘s) the court remained
committed to dual federalism but their rulings were inconsistent

27. Confusion from the Court
Impact of Plessy v. Ferguson (1896)
Many decisions upheld legislation for general welfare in
the area of commerce
Reinforcement of national government’s power to regulate
commerce
Interstate Commerce Act & Sherman Anti-Trust Act
Sugar Trust Case

28. Setting the stage....
For a stronger national government
1895

29. 16th Amendment &17th Amendment
(1913)

30. Cooperative Federalism
The New Deal & Growth of
National Government

31. The Supreme Court
Quickly after FDR took office a series of government agencies
and programs were created
Initially the court ruled some of them unconstitutional because
Congress was overstepping its commerce authority
By 1937, Court began to allow Congress to legislate in areas
that affected commerce “in some way”
Most New Deal laws and programs were based on
commerce power
Congress, backed by the courts, greatly expanded national
power in this era. This remained the trend until the Reagan
Revolution started in 1980.

32. Cooperative Federalism
What is
Cooperative
Federalism?
Intertwined relationship
between national, state
and local governments
where states are
secondary but cooperative
with the national
government

33. Layer Cake=Clear Cooperative Federalism
boundaries
Marble Cake=Elastic
boundaries
Dual Federalism

34. Federal Grants
The shift in power between the
national and state
governments was most
pronounced in the area of
federal government grants
There was tremendous growth
in federal grants starting with
the New Deal and continuing
until the 1990’s
Money is a policy-making tool

35. Federal Grants
Morrill Land Grant Act of 1862
New Deal/Public Works
Continuation of categorical grants
through 1960’s but with more strings
attached
Specific purpose, detailed
conditions & 90% of $$$ provided
by federal government
“Great Society” & “War on Poverty”

36. 1970’s
Continued Use of Categorical
Grants and Federal Mandates
A federal mandate is a
national law that requires
state/local government to
comply with federal rules
or regulations
May be funded or
unfunded
Clean Air Acts

37. New Federalism
Bipartisan Effort to Return Power
to the States

38. Reagan Revolution
Ronald Reagan & George H.W. Bush cut aid to states and
categorical grants became block grants that had few
strings attached. The hope was the states would
experiment and become more efficient with federal
money.

39. Bill Clinton
Clinton was more favorable of federal programs
but had to work with a Republican Congress
Contract with America
Devolution Revolution
Unfunded Mandates Reform Act
Personal Responsibility & Work
Opportunity Act of 1996
“Welfare to Work” Reform

40. Federalism & the Bush
Administration

41. Bush Administration
New Era of Preemption
“New” because Republicans
tend to support states’ rights/power
Preemption-allowing national government to override state and local
government in certain areas
Bush Administration violated the Republican tenet of states rights/
power by supporting laws such as No Child Left Behind (NCLB),
Patriot Act and addition of Department of Homeland Security

42. The Supreme Court
A Return to State Rights?

43. Rehnquist Court (1986-2005)
Webster v. Reproductive Health Services (1989)
U.S. v. Lopez (1995)
Printz v. U.S. (1997)
U.S. v. Morrison (2000)
Univ. of Alabama v. Garrett (2001)
TN v. Lane (2004) & NV v. Hibbs (2003)
Gonzales v. Oregon (2006)
Gonzales v. Raich (2005)

44. Advantages
Advantages: management of social/political
conflict (problems differ)
Encourages innovation & Diminishes risk
Easier access.....more participation
More protection of individual freedom
Allows greater diversity of opinion in public
policy

45. Disadvantages
Coordination of efforts....duplication
Local biases can damage national interest
Undue delays and obstruction
Justice may be unevenly applied
Local autonomy can get in the way of national
unity