AP Gov Unit 1.7 – Federalism: States and National Government

Federalism Definition

  • Federalism describes the relationship of power between the national and state governments.

  • The Constitution identifies exclusive powers (powers clearly defined as belonging to the national or state governments).

Powers Exclusive to States (10th Amendment)

  • The 10th Amendment:

    • "The powers not delegated to the United States by the Constitution, nor prohibited by it to the States, are reserved to the States respectively, or to the people."

  • In practice, powers traditionally left to states include:

    • Education, health, marriage, issues regarding morality, and police powers.

  • Morality-related decisions (e.g., the legal drinking age, gambling, lotteries) are often treated as state decisions.

  • Over time, states have taken on more responsibilities as populations grew and norms changed.

Powers Belonging to States or Localities (Examples)

  • Crime and penalties

  • What time bars must close

  • Restaurant food safety/cleanliness

  • Age of marriage

  • Hunting/fishing licensing & rules

  • Parks (city, county, & state)

  • Noise abatement

  • Traffic laws

  • Boating rules

  • Sale of pharmaceuticals

  • Adoption rules

  • Lotteries and other forms of wagering

Concurrent Powers (Shared by National and State Governments)

  • Definition: powers shared by both the national and state governments.

  • Some powers may be exercised concurrently; others may be exercised by one level in some contexts and by the other in different contexts.

  • Examples:

    • Levy taxes – some states have income taxes, most have sales taxes

Concurrent Powers: Overlapping Responsibilities (Illustrative Breakdown)

  • State responsibilities include:

    • Managing local resources

    • Maintaining building codes

    • Local policing

    • Creating counties and cities

    • Establishing and maintaining schools

    • Enforcing health codes

    • Establishing and maintaining roads

    • Regulating industries and labor

    • Regulating alcohol, tobacco, and gun ownership

    • Penal and criminal codes

    • Property rights

  • Federal responsibilities include:

    • Establishing and maintaining currency

    • Infrastructure planning and funding

    • Subsidies on industry

    • Maintaining a system of revenue

    • Taxes and borrowing

    • Establishing a judicial system for criminal and civil issues

    • Electoral and voting laws

    • Legislating and executing laws

    • Providing for public welfare

    • Taking land for public use

    • Regulation and oversight of banks

    • Immigration law (national scope)

    • National defense: funding, organization, training, and war

    • Sending and receiving ambassadors; maintaining diplomatic relations

    • Negotiating treaties; granting copyrights and patents

    • Establishing tariffs on exports; admittance of new states

  • Reserved powers of the state governments vs. exclusive powers of the federal government are acknowledged as guiding concepts within these overlaps.

Obligations of the States to the Federal Government and Each Other

  • Full Faith and Credit: official documents (marriage licenses, divorce papers, birth certificates, driver’s licenses) are valid in all states.

  • Privileges and Immunities: prevents states from discriminating against citizens of other states; e.g., a Texan visiting California would pay the same taxes and receive police protection as a citizen of California.

  • Extradition: if you commit a crime in another state, that state must return you to the state from which you’re from.

Important Notes

  • The distribution of power between states and the national government continues to shift.

  • Shifts can be prompted by political beliefs about the federal role or by national disasters or state needs.

Revenue and Your Tax Dollars at Work (Fiscal Federalism in Practice)

  • The federal government collects taxes and distributes some money back to the states (revenue sharing or cooperative federalism).

  • Both levels invest in projects; funds are used for safety, education, civil rights, clean air, clean water, health care, community development, and more.

  • The use of revenue sharing has varied depending on presidential agenda and political climate; sometimes expanded, consolidated, or devolved to states.

  • Devolution refers to shifting control back to states; failure by a state to meet conditions can lead to withholding of funds for that project.

Fiscal Federalism: Grants and Mandates

  • Two main types of grants:

    • Categorical grants: money given with strings attached and specific congressional guidelines; tied to particular areas of need (e.g., state healthcare, road construction, elder care).

    • Block grants: larger sums for broader purposes (education, community development, etc.) with fewer strings attached.

  • Mandates (federal directives):

    • Federal monies requiring states to follow a federal directive (rules).

    • Compliance can lead to funding incentives.

    • Unfunded mandates require states to comply but without funding to do so.

Societal Changes and the Evolution of Federalism (Key Transitions)

  • Early 19th century: Dual federalism, described as a "layer cake" – clear division of labor between layers.

  • As states became centers of manufacturing, transportation, and business, the federal government began regulating commerce more.

  • The 16th Amendment (income tax) increased federal involvement with states.

  • Local problems becoming national problems (interstate transportation, bad business practices) led to broader federal regulation in areas like workplace safety, banking, railroads, and civil rights.

  • The New Deal era solidified Cooperative Federalism (often described as a "marble cake"), where federal and state governments work together and powers become intermingled.

Marble Cake vs Layer Cake Federalism

  • Layer Cake Federalism (Dual Federalism): distinct layers (national and state) with limited overlap; powers and responsibilities are clearly separate.

  • Marble Cake Federalism (Cooperative Federalism): intermingled powers and shared policy responsibilities; cooperation between levels of government.

Examples of Societal Changes Driving Federalism Shifts

  • Population growth and urbanization

  • Groups demanding protections (labor, business, civil rights, women)

  • National concerns (disaster preparedness, crime, unemployment, food security, environmental protection)

  • Presidents and their agendas influencing federal-state relations:

    • Nixon: devolution and welfare reform

    • Reagan: New Federalism – smaller government, lower taxes, states should handle their own issues

    • Clinton: welfare reform; opposition to unfunded mandates

    • Obama: Race to the Top initiatives to promote state adoption of new education standards

Major Societal Changes and the Preference for Federalism Shifts

  • Urbanization and advances in transportation/communication

  • Growth of bureaucratic expertise

  • Progressive era reforms with economic implications (e.g., road infrastructure, poor relief after the Great Depression)

  • Civil Rights Era and the 14th Amendment’s role in extending civil, political, and economic rights to minorities

Final reminder

  • Fed–state relations are dynamic and influenced by law, politics, economics, technology, and societal values.

Note on Terminology

  • Dual Federalism = Layer Cake Federalism

  • Cooperative Federalism = Marble Cake Federalism

  • Devolution = shifting responsibility and control back to states through funding and program design as conditions are met or not met

  • Mandates = federal requirements tied to funding (funded or unfunded)