Chapter 4: The Federal System...state governments affect your life, view the Democracy in Action...

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Federalism According to statistics,Americans move an average of six timesduring their lives, often from state tostate. What federal laws protect themwherever they live? If you moved to anew state, how might laws differ?

To learn more about how thepowers of the federal and

state governments affect your life, viewthe Democracy in Action Chapter 4video lesson:

The Federal System

Chapter Overview Visit the United StatesGovernment: Democracy in Action Web siteat gov.glencoe.com and click on Chapter4—Overview to preview chapter information.

GOVERNMENT

★ ★ ★ ★ ★ ★ ★ ★ ★ ★

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http://www.gov.glencoe.com

CHAPTER 4: THE FEDERAL SYSTEM 95

Few confrontations between the state andnational governments are as dramatic asthe one at the University of Alabama in1963. Nevertheless, national and state

powers have been continually redefined throughconflict, compromise, and cooperation since theearliest days of the republic. How do the differentlevels of government cooperate?

The Division of PowersThe Constitution divided government au-thority by giving the national government

certain specified powers, reserving all other powersto the states or to the people. In addition, the na-tional and state governments share some powers.Finally, the Constitution specifically denied somepowers to each level of government.

The Constitution has preserved the basic de-sign of federalism, or the division of governmentpowers, over the years. The American concept offederalism, however, has changed greatly since1787.

Federalism is not a static relationship be-tween different levels of government. It is a dy-namic concept that affects everyday decisions atall levels. An understanding of federalism mustbegin with the Constitution.

National PowersThe Constitution grants three types ofpower to the national government: ex-

pressed, implied, and inherent powers. Collec-tively, these powers are known as delegatedpowers, powers the Constitution grants or dele-gates to the national government.

Expressed Powers The expressed powersare those powers directly expressed or stated in the Constitution by the Founders. Most of these powers are found in the first three ar-ticles of the Constitution. This constitutional

National and State PowersS e c t i o n 1S e c t i o n 1

Wallace CompliesTUSCALOOSA, ALABAMA, JUNE 1963

With the National

Guard on cam-

pus, Governor George

Wallace reluctantly com-

plied with a request by

General Henry Graham

to step aside and let

African American stu-

dents register at the

University of Alabama.

Defying a federal court order, Wallace had stood in a

doorway at the university, blocking two African

American students. “I denounce and forbid this ille-

gal and unwarranted action by the Central Govern-

ment,” Wallace stated as he refused to move. When

President Kennedy responded by federalizing the Al-

abama National Guard, the governor backed down.

Wallace attempts to

block desegregation

Reader’s Guide

Key Termsdelegated powers, expressed powers, implied powers, elastic clause, inherent powers, reserved powers, supremacy clause, concurrentpowers, enabling act

Find Out■ What are the differences between the expressed

powers and the implied powers?■ How does the overall power of the national

government compare to that of the states?

Understanding ConceptsFederalism In what ways does federalism provideconstitutional safeguards for the people?

National and state flags at Monument Valley, Utah▲

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Implied powers have helped the national gov-ernment strengthen and expand its authority tomeet many problems the Founders did not foresee.Thus, Congress has used the implied powers toregulate nuclear power plants and to develop thespace program.

Inherent Powers Those powers that the na-tional government may exercise simply because itis a government are its inherent powers. For ex-ample, the national government must control im-migration and establish diplomatic relations withother countries, even though these powers are notspelled out in the Constitution.

The States and the NationSome people felt that the Constitutiongranted too much power to the national gov-

ernment. In The Federalist, No. 45, James Madisonargued that in fact it granted few and limitedpowers to the national government while thestate’s powers were many and broadly drawn.The Constitution also reserves certain powersstrictly to the states. These are called reservedpowers. While the Constitution does not list these

authority includes the power to levy and collecttaxes, to coin money, to make war, to raise an army and navy, and to regulate commerce among the states. Expressed powers are also called enumerated powers.

Implied Powers Those powers that the na-tional government requires to carry out the pow-ers that are expressly defined in the Constitutionare called implied powers. While not specificallylisted, implied powers spring from and dependupon the expressed powers. For example, thepower to draft people into the armed forces is im-plied by the power given to the government toraise an army and navy.

The basis for the implied powers is the neces-sary and proper clause (Article I, Section 8). Oftencalled the elastic clause because it allows the pow-ers of Congress to stretch, it says:

“Congress shall have power . . . to make allLaws which shall be necessary and properfor carrying into Execution the Foregoingpowers, and all other powers vested . . . inthe Government of the United States. . . .”—Article I, Section 8

Displaying the Flag

W hether you display the American flag everyday, or only on holidays and special occa-sions, certain laws and customs govern

the use of this symbol of national unity.The flag is usually flown only from dawn to

dusk. If displayed at night, it should be lighted. Ina group of flags, the U.S. flag should be at thecenter and higher than the others. Fly the flag athalf-staff on the death of a government official anduntil noon on Memorial Day.

Inside, the flag may hang flat against the wallbehind a speaker, with the stars on the left. If on astaff, it should be on the viewers’ left. Any otherflags should be placed to the right. The flag maybe flown upside down only to signal distress.

Remember that, as the symbol of the UnitedStates, the flag should be treated with respect.

Never let ittouch theground. Whenan Americanflag becomestoo worn to dis-play, it shouldbe destroyed ina dignified way,preferably byburning.

Flag Research What are the rules governing flyingthe flag at half-staff? When was the last time aflag flew at half-staff over your school?

A C T I V I T YA C T I V I T Yarticipating

I N G O V E R N M E N T articipating

I N G O V E R N M E N T

Proudly displaying the flag

96

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powers specifically, it grants to the states thosepowers “not delegated to the United States by theConstitution, nor prohibited by it to the states.”Thus the states have authority over matters notfound in the Constitution, such as the regulationof public school systems.

The Supremacy Clause What happenswhen states exceed their reserved powers and passlaws that conflict with national laws? Which law issupreme? Article VI, Section 2, of the Constitutionmakes the acts and treaties of the United Statessupreme. For this reason it is called the supremacyclause. This clause states:

“This Constitution, and the Laws ofthe United States which shall be made in Pursuance thereof, and all treaties made . . . under the Authority of the United States, shall be the supreme Law of the Land; and the Judges in every State shall be bound thereby.”—Article VI, Section 2

No state law or state constitution may conflictwith any form of national law. Article VI also re-quires that all national and state officials andjudges be bound to support the Constitution. Stateofficials are not permitted to use their state’s re-served powers to interfere with the Constitution.

States create local governments such as those ofcities and counties. As such, local governments gettheir powers from the states. Hence, local govern-ments are also bound by the Constitution’s su-premacy clause—if a state is denied a certain power,so, too, are the local governments within the state.

Concurrent Powers The federal governmentand the states also have certain concurrent powers.Concurrent powers are those powers that both thenational government and the states have. Eachlevel of government exercises these powers inde-pendently. Examples of concurrent powers are thepower to tax, to maintain courts and define crimes,and to appropriate private property for public use.Concurrently with the national government, thestates may exercise any power not reserved by the


Critical Thinking The Constitution established a detailed plan for the distribution of power between the federal and state governments. What powers are shared by the national and state governments?

NATIONAL GOVERNMENT

(Expressed, Implied, and Inherent Powers)

STATE GOVERNMENTS

(Reserved Powers)

NATIONAL and STATE GOVERNMENTS

(Concurrent Powers)

Regulate foreign andinterstate commerce

Levy taxes Regulate intrastate commerce

Establish local government systems

Administer elections

Protect the public’s health, welfare, and morals

Borrow money

Establish courts

Enact and enforce laws

Spend for general welfare

Coin moneyProvide an army and navyDeclare warEstablish federal courtsbelow the Supreme CourtConduct foreign relationsExercise powers implied from the expressed powers

Division of Federal and State PowersDivision of Federal and State Powers

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Constitution for the national government. Ofcourse, state actions must not conflict with any national laws.

Denied Powers Finally, the Constitutionspecifically denies some powers to all levels of gov-ernment. Article I, Section 9,1 enumerates thosethings the national government cannot do. For ex-ample, the national government cannot tax ex-ports, and it cannot interfere with the ability ofstates to carry out their responsibilities.

The next section of Article I presents a long listof powers denied to the states. No state can maketreaties or alliances with foreign governments. Norcan states coin money, make any laws impairingthe obligation of contracts, or grant titles of nobil-ity. And states must have congressional permissionto collect duties on exports or imports or to makeagreements—called compacts—with other states.

Consistent with the belief in the sovereignty ofthe people, the Constitution applies important lim-itations to both the national and state governments.These restrictions, designed to protect individualliberties such as free speech and the rights of the ac-cused, are set forth in Article I, Section 9, in the Billof Rights, and in several other amendments.

Guarantees to the StatesThe Constitution obliges the national gov-ernment to do three things for the states.

These three obligations are outlined in Article IV,Sections 3 and 4.2

Republican Form of GovernmentFirst, the national government must

guarantee each state a republican formof government. Enforcement of thisguarantee has become a congressionalresponsibility. When Congress allowssenators and representatives from astate to take their seats in Congress, it isin effect ruling that the state has a re-publican form of government.

The only extensive use of this guarantee came just after the Civil War. At that time, some Southern stateshad refused to ratify the Civil Waramendments granting citizenshiprights to African Americans. Congressruled that these states did not have a

republican form of government. It refused to seatsenators and representatives from those statesuntil the states ratified the Civil War amendmentsand changed their laws to recognize AfricanAmericans’ rights.

Protection Second, the national governmentmust protect states from invasion and domestic vi-olence. An attack by a foreign power on one state isconsidered an attack on the United States.

Congress has given the president authority tosend federal troops to put down domestic disor-ders when state officials ask for help. In the sum-mer of 1967, for example, President LyndonJohnson sent troops to Detroit to help controlracial unrest and rioting. Johnson did so afterMichigan’s governor declared that the Detroit po-lice and the Michigan National Guard could notcope with the widespread violence.

When national laws are violated, federal prop-erty is threatened, or federal responsibilities are interfered with, the president may send troops to a

98 CHAPTER 4: THE FEDERAL SYSTEM

Concurrent Powers Members of both the Noble CountySheriff’s Department and FBI agents lead convicted terroristTimothy McVeigh out of an Oklahoma courthouse. Why didfederal and state authorities have to cooperate afterthe bombing of the federal building in Oklahoma City?

Federal and State Cooperation

See the following footnoted materials in the Reference Handbook:1. The Constitution, pages 774–799. 2. The Constitution, pages 774–799.

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state without the request of local authorities—oreven over local objections. In 1894, for example,President Grover Cleveland sent federal troops toChicago to restore order during a strike of railroadworkers even though the governor of Illinois ob-jected. During the strike, rioters had threatenedfederal property and interfered with mail delivery.

During the 1950s and 1960s, Presidents Eisen-hower and Kennedy used this power to stop stateofficials from blocking the integration of Southernschools and universities. Eisenhower sent troops toLittle Rock, Arkansas, in 1957 when local officialsfailed to integrate public schools. Kennedy usedtroops at the University of Mississippi in 1962 andthe University of Alabama in 1963.

The national government has extended its de-finition of domestic violence to include naturaldisasters such as earthquakes, floods, hurricanes,and tornadoes. When one of these disasters strikes,the president often orders troops to aid disastervictims. The government also provides low-costloans to help people repair damages.

Territorial Integrity Finally, the national gov-ernment has the duty to respect the territorial in-tegrity of each state. The national governmentcannot use territory that is part of an existing stateto create a new state unless the national govern-ment has permission from the legislature of thestate involved. The admission of West Virginia as astate in 1863 may be considered an exception tothis rule.

Admission of New StatesThirty-seven states have joined the Unionsince the original 13 formed the nation.

Most of these states became territories before tak-ing steps to gain statehood. What procedures dothese territories then follow to become states?

Congress Admits New States The Consti-tution gives Congress the power to admit newstates to the Union. There are two restrictions onthis power. First, as noted earlier, no state may beformed by taking territory from one or more stateswithout the consent of the states involved and ofCongress. Second, acts of admission, like all laws,are subject to presidential veto.

The procedure for admission begins whenCongress passes an enabling act. An enabling act,when signed by the president, enables the peopleof the territory interested in becoming a state toprepare a constitution. Then, after the constitutionhas been drafted and approved by a popular votein the area, it is submitted to Congress. If Congressis still agreeable, it passes an act admitting the ter-ritory as a state.

Since the original 13 states formed the Union,Congress has admitted new states under a varietyof circumstances. Five states—Vermont, Kentucky,Tennessee, Maine, and West Virginia—were created from existing states. Two states, West Virginia and Texas, were admitted under unusualcircumstances.

Federal and State StrugglesAfter members of the ArkansasNational Guard prevented Eliza-beth Ann Eckford from attendingLittle Rock High School on Sep-tember 4, 1957, PresidentEisenhower sent federal troopsto forcibly integrate the school.Analyze the role of the execu-tive branch in protecting indi-vidual rights. What authoritydid the president have tosend federal troops to LittleRock?

Federal Troops Enforce the Constitution

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West Virginia was created from 40 westerncounties of Virginia that broke away when Virginiaseceded from the Union. Some people have arguedthat the admission of West Virginia was a violationof the Constitution because the Virginia legislaturedid not give its consent. Congress, however, accept-ed the decision of the minority of the Virginia legis-lature that represented the 40 western counties. Itheld that the western representatives were the onlylegal acting Virginia legislature at that time.

Texas won independence from Mexico andsought annexation to the United States for severalyears before being admitted. Antislavery membersof Congress opposed creation of a new slavehold-ing state. Texas was annexed to the United States bya joint resolution of Congress in 1845. The jointresolution provided for immediate statehood, al-lowing Texas to skip the territorial period. It alsostated that Texas could be divided into as many asfive states with the approval of both Texas and theUnited States.

The last two states to be admitted, Alaska andHawaii, shortened the admission process. Theyeach adopted a proposed constitution withoutwaiting for an enabling act. Both were admitted in1959.

Puerto Rico has considered statehood over aperiod of several decades. Puerto Ricans, however,rejected statehood by a vote in 1993.


Federalism Guthriebecame a quiet townafter Oklahoma movedits capital to OklahomaCity, the state’s largestmetropolitan area. TheState Capitol has stoodin Oklahoma City since1910. Why do stateauthorities have thepower to determine

the state’s govern-mental seat?

Division of Powers

Conditions for Admission Congress or thepresident may impose certain conditions before ad-mitting a new state, including requiring changes inthe drafted constitution submitted by a territory. In1911 President Taft vetoed the congressional reso-lution admitting Arizona because he objected to asection in the Arizona constitution dealing with therecall of judges. Arizona then modified the consti-tution, and the next year it became the forty-eighthstate. When Alaska entered the union in 1959, itwas prohibited from ever claiming title to any landslegally held by Native Americans or Aleuts in Alas-ka. Ohio was admitted in 1803 on the conditionthat for five years it not tax any public lands sold bythe national government within its borders.

The Supreme Court has ruled that the presidentor Congress may impose conditions for admissionof a state. Once a state is admitted, however, thoseconditions may be enforced only if they do not in-terfere with the new state’s authority to manage itsown internal affairs. In the case of Arizona, once itwas admitted as a state, it promptly amended itsconstitution to restore provisions about the recall ofjudges that Taft had requested be deleted.

When Oklahoma was admitted in 1907, Con-gress forbade it to move its capital from the city ofGuthrie until 1913. The Supreme Court, however,upheld the right of Oklahoma to move the capitalto Oklahoma City in 1911. The Court declared:

Oklahoma state seal

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“The power to locate its own seat of govern-ment, and to determine when and how itshall be changed from one place to anoth-er, and to appropriate its own public fundsfor that purpose, are essentially and pecu-liarly state powers. . . . Has Oklahomabeen admitted upon an equal footing withthe original states? If she has . . . [Okla-homa] may determine for her own peoplethe proper location of the local seat ofgovernment.”—Justice Horace H. Lurton, 1911

Equality of the States Once admitted to theUnion, each state is equal to every other state andhas rights to control its internal affairs. No statehas more privileges or fewer obligations than anyother. Each state is also legally separate from everyother state in the Union. All states in the Union arebound to support the Constitution.

The National Governors’ Association

The National Governors’ Association (NGA)supports federalism by helping governors

in state policy making and in influencing national

policy. In 1908 President Theodore Roosevelt firstcalled the nation’s governors together to discussconservation. After that the governors began tomeet regularly as the Governors’ Conference todeal with a variety of issues. In the 1960s the gov-ernors set up a permanent organization with anoffice in Washington, D.C.

NGA Helping the Governors In the 1970sthe renamed National Governors’ Association focused on helping the governors’ performancewithin their own states. The NGA held seminarsand published materials on subjects such as orga-nizing the governor’s office, dealing with the press,and organizing intergovernmental relations. A series of publications focused on the growing in-fluence of states and governors as innovators.Through the NGA, states shared ideas on how tosolve common problems.

NGA Influencing National Policy Begin-ning in the 1980s, governors focused their atten-tion on national policy concerns. The NGA and itsaffiliates addressed educational, welfare, andhealth-care reforms as well as the changing balancein the federal system. Regional governors’ associa-tions also became active in policy issues. By joiningtogether, the governors were becoming a big partof the national policy-making process.


Do we truly have governmentby and for the people? If so,how can citizens make their

opinions known? Can you work with-in the system to change a law thatyou believe is unjust?

Your opinion will carry more influence if you join with others.Choose an appropriate means ofexpressing your views. To questiona local ordinance, attend a citycouncil meeting. If you object to

a state law, write to your state leg-islator. Petitions—formal requestsfor specific action signed by manypeople—are also effective. Youcould write letters to the editor orprepare an editorial for a local radio or television broadcast. TheInternet also offers an avenuethrough which citizens can speakout on an issue.

ActivityChoose an issue from an opin-

ion page of the local newspaper.Express whether you strongly agreeor disagree in a letter to the news-paper’s editor.

Working Withinthe System

articipatingI N G O V E R N M E N T

articipatingI N G O V E R N M E N T

Contacting a legislator

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Obligations of the States The states per-form two important functions for the nationalgovernment. First, state and local governmentsconduct and pay for elections of all national gov-ernment officials—senators, representatives, andpresidential electors. The Constitution gives statelegislatures the power to fix the “times, places, andmanner” of election of senators and representa-tives (Article I, Section 4). Under the same provi-sion, Congress has the authority to alter stateelection laws should it so desire.

In addition, the states play a key role in theprocess of amending the Constitution. Accordingto the document, no amendment can be added tothe Constitution unless three-fourths of the statesapprove it.

The Courts as UmpireBecause federalism divides the powers ofgovernment, conflicts frequently arise be-

tween national and state governments. By settlingsuch disputes, the federal court system, particular-ly the Supreme Court, plays a key role as an umpirefor our federal system. The question of nationalversus state power arose early in our nation’s his-tory. In 1819, in the landmark case of McCulloch v.Maryland,1 the Supreme Court ruled on a conflictbetween a state government and the national government. In making the decision, the SupremeCourt held that in the instance of a conflict

between the national government and a state gov-ernment, the national government is supreme.

Since McCulloch, the Supreme Court hasmade many rulings on the constitutional divisionof power between the national and state govern-ments. The Court’s view of this division has shiftedthrough the years depending on the mood ofthe nation and on the number of conservative andliberal justices on the Court. Early in its history,the Court usually favored states’ power. During theDepression and the civil rights movement,the Court tended to favor a strong nationalgovernment. Since the 1990s, a narrow majorityof conservative justices has again generally ruledin favor of the states. For example, in United Statesv. Lopez (1995), the Court held that Congress hadexceeded its authority over the states by passing alaw banning gun possession in or near schools.

Federal judges also serve as umpires of federal-ism when they review the actions of state andlocal governments. In recent decades the powerof federal judges has increased because of moderninterpretations of the Fourteenth Amendment,which prohibits states from depriving any personof life, liberty, or property without “due process oflaw.” Broad interpretation of these words makesnearly every action by state and local officials opento questioning by a federal judge.


See the following footnoted materials in the Reference Handbook:1. McCulloch v. Maryland case summary, page 761.

Sect ion 1 AssessmentSect ion 1 Assessment

Federalism New states coming into the Unionhave had to follow a process established byCongress. Beginning with the enabling actpassed by Congress, create a flow chart thatshows the dates and conditions by which yourstate was admitted to the Union.

Checking for Understanding1. Main Idea Using a graphic

organizer like the one at the right, give an example of each kind of power granted to the national government.

2. Define delegated powers, expressed powers, implied powers, elastic clause, inherent powers,reserved powers, supremacy clause, concurrentpowers, enabling act.

3. Identify necessary and proper clause, McCullochv. Maryland.

4. What kinds of powers may states exercise?

Critical Thinking5. Making Comparisons How do the obligations

of the national government to states compare to obligations of states to the national government?

expressed

implied

inherent

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The Constitution, in establishing the feder-al system, defined not only national-staterelations but also relations among thestates. Conflicts and jealousies among the

states had been a major reason for drafting theConstitution in 1787. One way the Constitutiondealt with this problem was to strengthen the na-tional government. The second way was to set thelegal ground rules, such as extradition, for rela-tions among the states. Because each state retainsmuch power and independence, these rules help toassure cooperation among the states.

Interstate RelationsArticle IV of the Constitution requires thestates to do the following: (1) give “full faith

and credit” to the laws, records, and court deci-sions of other states; (2) give one another’s citizensall the “privileges and immunities” of their owncitizens; and (3) extradite—that is, return to astate—criminals and fugitives who flee acrossstate lines to escape justice.

Full Faith and Credit The Constitutionstates that “full faith and credit” shall be given ineach state to the public acts, records, and judicialproceedings of every other state. In other words,each state must recognize the laws and legal pro-ceedings of the other states. For example, a carregistration of one state must be accepted by allthe other states. This clause applies only to civillaw, or laws relating to disputes between indi-viduals, groups, or with the state. One state can-not enforce another state’s criminal laws.

The need for this kind of rule in the federalsystem is obvious. Without it, each state couldtreat all other states like foreign countries. Fur-ther, each state could become a haven for peo-ple who decided to move to another state toavoid their legal duties and responsibilities.

The coverage of the “full faith and credit”rule is quite broad. Public acts refers to civil

Relations Among the StatesS e c t i o n 2S e c t i o n 2

Convict Goes FreeTALLAHASSEE, FLORIDA, OCTOBER 1996

A64-year-old convict,

who escaped from a

Florida prison in 1952,

but has been a model citi-

zen since, is officially

free. When Eddie Brown,

of Brooklyn, New York,

was stopped for a traffic

violation recently, a rou-

tine check revealed him to

be a long-sought fugitive.

Originally Brown had been

serving a 5-year sentence

for robbery in Florida. When he was caught, Florida

officials at first wanted Brown returned to serve his

remaining sentence. However, after hearing about

the model life Brown had led during his years of

freedom, Florida governor Lawton Chiles dismissed

the order to extradite him.

No longer needed


Reader’s Guide

Key Termsextradite, civil law, interstate compact

Find Out■ What provisions in Article IV of the Constitution

attempt to provide for cooperation among thevarious state governments?

■ What are some of the purposes of interstatecompacts?

Understanding ConceptsFederalism Why is it necessary that the Constitution require states to cooperate with one another?

103-105 CH04S2-860053 12/1/04 1:49 AM 3

laws passed by state legislatures. Records meanssuch documents as mortgages, deeds, leases,wills, marriage licenses, car registrations, and birthcertificates. The phrase judicial proceedings refersto various court actions such as judgments to paya debt.

Judicial decisions in civil matters in one statewill be honored and enforced in all states. If, for ex-ample, a person in Texas loses a lawsuit requiring aspecific payment, and moves to Illinois to avoidpaying the money, Illinois courts will enforce theTexas decision.

Privileges and Immunities The Foundersknew that when citizens traveled between states,they might be discriminated against. A citizen ofDelaware, for example, might be treated as an alienin Virginia or Maryland. Therefore, the Constitu-tion provides that “the Citizens of each State shallbe entitled to all Privileges and Immunities of

Citizens in the several States.” As inter-preted by the Supreme Court, this clausemeans that one state may not discrimi-nate unreasonably against citizens of an-other state. It must provide citizens ofother states the same privileges and im-munities it provides its own citizens.

The courts have never given a com-plete listing of “privileges and immuni-ties.” Included, however, are rights topass through or live in any state; use thecourts; make contracts; buy, sell, andhold property; and marry.

On the other hand, states may makereasonable discrimination against non-residents. The privileges and immuni-ties clause does not apply to voting,serving on juries, or using certain publicfacilities. Some states require that a personlive in a state for a certain amount oftime before becoming a voter or publicofficial. States may also require individ-uals to establish residency before theycan practice such professions as medi-cine, dentistry, or law.

In addition, nonresidents do nothave the same right to attend publiclysupported institutions such as schoolsor to use state hospitals as do residentsof the state. Nonresidents may be re-

quired to pay higher fees for hunting or fishing licenses than residents. State colleges and universi-ties may, and usually do, charge higher tuition feesto students from other states than they do to resi-dent students.

Extradition Because states are basically inde-pendent of one another, some means is needed toprevent criminals from escaping justice simply bygoing from one state to another. For this reason,the Constitution provides:

“A person charged in any state with trea-son, felony, or other crime, who shall fleefrom justice, and be found in anotherState, shall, on demand of the executiveauthority of the State from which he fled,be delivered up, to be removed to the Statehaving jurisdiction of the crime.”—Article IV, Section 2


Reasonable Discrimination It is often more expensivefor residents of one state to attend an out-of-state publiccollege. Why do you think states charge out-of-statestudents higher tuition fees?

Nonresidents’ Rights

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This clause provides for the extradition offugitives. Congress has made the governor of thestate to which fugitives have fled responsible for re-turning them.

The Supreme Court has softened the meaningof the extradition provision by ruling that a gover-nor is not required to return a fugitive to anotherstate. Although extradition is routine in the vastmajority of cases, occasionally a governor willrefuse. For example, a Michigan governor once re-fused to return a fugitive to Arkansas because, thegovernor said, prison conditions in Arkansas wereinhumane. Arkansas officials could do nothingabout the governor’s decision. In recent years Con-gress has acted to close the extradition loophole bymaking it a federal crime to flee from one state toanother in order to avoid prosecution for a felony.

Interstate Compacts The Constitution re-quires the states to settle their differences with oneanother without the use of force. The principalway in which states may do this is to negotiate in-terstate compacts. Such compacts are writtenagreements between two or more states. The na-tional government or foreign countries may alsobe part of an interstate compact.

Congress must approve interstate compacts.This requirement prevents states from threateningthe Union by making alliances among themselves.Once a compact has been signed and approved byCongress, it is binding on all states signing it. Itsterms are enforceable by the Supreme Court.

Before 1900, only 13 interstate compacts hadreceived congressional approval. Most of them

involved boundary disputes between states. As soci-ety has become more complex, however, the num-ber of compacts sent to Congress has increased.Today nearly 200 compacts are in force.

States use compacts to deal with such mattersas air and water pollution, pest control, tollbridges, and transportation. New Jersey and NewYork helped start this trend in 1921 when they cre-ated the Port of New York Authority to developand manage harbor facilities in the area. Manycompacts today deal with the development andconservation of natural resources. Others dealwith the transport and disposal of hazardous wastematerials. Interstate compacts have become an im-portant way for the states to deal with regionalproblems.

Lawsuits Between States Sometimes statesare unable to resolve their disputes by these orother methods. When this happens, an interstatelawsuit may result. Since 1789 more than 220 dis-putes between states have wound up in court. Suitsamong two or more states are heard in the UnitedStates Supreme Court, the only court in which onestate may sue another.

States bring one another to court for a varietyof reasons. Cases in the West often involve waterrights. Arizona, California, and Colorado havegone to the Court in disputes over water from theColorado River. Other cases have involved sewagefrom one state polluting the water in another state.Still other cases are disputes over boundary lines.Arkansas and Tennessee had such a dispute as recently as 1970.

Federalism Imagine you have moved to a newstate. Find out if and how a driver’s license,automobile registration, and voting registrationare changed. Write a report on your findings.

Checking for Understanding1. Main Idea In a chart, list three ways states treat

nonresidents differently and the same as residents.

2. Define extradite, civil law, interstate compact.3. Identify “full faith and credit,” “privileges and

immunities.”4. What three constitutional provisions are aimed

at promoting cooperation among the states?

Critical Thinking5. Understanding Cause and Effect What environ-

mental problems could interstate compacts address, and what solutions could they achieve?


Treated differently Treated the same1.2.3.

103-105 CH04S2-860053 12/1/04 1:50 AM Page 105

The roles of state and national governmentofficials have been defined during twocenturies of developing federalism. EarlyFederalists such as John Jay and Alexan-

der Hamilton had to convince the people in thestates that the new federalism of the Constitutionwas better than the old confederacy. While theydeeply believed that the United States needed astrong central government to survive, they alsoknew that many people feared the centralization ofpower. The colonial experience with the power ofBritish government was still fresh in people’sminds.

Alexander Hamilton wrote:

“The proposed Constitution, so far fromimplying an abolition of the State govern-ments, makes them constituent parts of thenational sovereignty, by allowing them adirect representation in the Senate, andleaves in their possession certain exclusiveand very important portions of sovereignpower. This fully corresponds . . . with theidea of a federal government.”—Alexander Hamilton, 1787

While Hamilton’s basic definition of federal-ism remains true, interpretations of how federal-ism affects national-state relationships havechanged since 1787 and will no doubt continueto do so.

States’ Rightists Versus Nationalists

Throughout American history, therehave been two quite different views of

how federalism should operate. One view—thestates’ rights position—favors state and localaction in dealing with problems. A secondview—the nationalist position—favors na-tional action in dealing with these matters.

Developing FederalismS e c t i o n 3S e c t i o n 3

Shopping the Net WASHINGTON, D.C., MARCH 19, 1998

The National Governors’ Association (NGA)

and other groups representing local officials

have decided to support national legislation that

temporarily bans sales taxes on

Internet transactions. The an-

nouncement marks a major

policy change for the NGA.

Earlier, the group had asked

Congress to give states the

right to collect sales taxes on

Internet commerce based on

the tax rates of customers’ home states. The NGA

agreed to a three-year delay on Internet taxes after

negotiating with congressional supporters of leg-

islation banning the taxes. To gain the governors’

support, the bill’s authors agreed to reduce the

length of the delay from six to three years.

Internet User


Reader’s Guide

Key Termsstates’ rights position, nationalist position, income tax

Find Out■ Compare the view of the federal government as

seen by a states’ rightist and a nationalist.■ What events show that federalism has been

dynamic rather than static since the 1960s?

Understanding ConceptsFederalism How do national crises, such as war, tend to shift power to the national government?

106-111 CH04S3-860053 12/1/04 1:50 AM Page 106

The States’ Rights Position The states’rights view holds that the Constitution is a com-pact among the states. States’ rightists argue thatthe states created the national government andgave it only certain limited powers. Any doubtabout whether a power belongs to the nation-al government or is reserved to the statesshould be settled in favor of the states. Becausethe national government is an agent of thestates, all of its powers should be narrowly defined.

States’ rights supporters believe state govern-ments are closer to the people and better reflecttheir wishes than the national government. Theytend to see the government in Washington, D.C., asheavy-handed and a threat to individual liberty.

At various points in United States history, theSupreme Court has accepted this view. UnderChief Justice Roger B. Taney (1836–1864), theCourt often supported states’ rights against powersof the national government. The same was truefrom 1918 to 1936, when the Court ruled new fed-eral laws attempting to regulate child labor, indus-try, and agriculture in the states unconstitutional.During these times, the Court largely ignored JohnMarshall’s principle of implied powers set out inMcCulloch v. Maryland. Instead, it based its deci-sion on the Tenth Amendment, which says powersnot delegated to the national government are re-served to the states or the people.

The Nationalist Position The nationalistposition rejects the idea of the Constitution asmerely a compact among the states. Nationalistsdeny that the national government is an agent ofthe states. They argue that it was the people, notthe states, who created both the national govern-ment and the states. Therefore, the national gov-ernment is not subordinate to the states.

Nationalists believe the powers expressly dele-gated to the national government should be ex-panded as necessary to carry out the people’s will.They hold that the “necessary and proper” clauseof the Constitution means that Congress has theright to adopt any means that are convenient anduseful to carry out its delegated powers. They alsoclaim that the reserved powers of the states shouldnot limit how the national government can use itsown powers.

Nationalists believe the national governmentstands for all the people, while each state speaks for

only part of the people. They look to the nationalgovernment to take the lead in solving major socialand economic problems facing the nation.

The Supreme Court established the nationalistposition in 1819 in McCulloch v. Maryland, but it re-ally gained ground in the Court during the late1930s. At that time, the Great Depression grippedthe nation. The national government under Presi-dent Franklin D. Roosevelt responded by startingnew social welfare and public works programs. Atfirst, the Court ruled these programs were unconsti-tutional.As the Depression grew worse, however, theCourt adjusted its views. It supported the expansionof the national government’s powers in order to dealwith the nation’s terrible economic problems.

Growing National GovernmentA major factor shaping the development ofAmerican federalism has been the growth

in the size and power of the national government.


The 51st State? Puerto Ricans hotlydebate their political future. Though they areU.S. citizens and must follow U.S. laws, theylack some rights of mainland Americans, suchas the right to vote in presidential elections. IfPuerto Rico became a state, residents wouldhave to pay federal income taxes, but theywould also acquire all the rights U.S. citizenshave. Those in favor of Puerto Ricanindependence fear that statehood would forcethem to speak English and could weaken theirheritage. Some claim that commonwealthstatus gives Puerto Ricans the best of bothworlds. They are U.S. citizens and have military protection,but they retain their rich Spanish culture. In the past 30 years, public support for statehood has increased on the island.

106-111 CH04S3-860053 12/1/04 1:50 AM Page 107

Over the years this expansion came largely at theexpense of the states.

A key reason for the change is that the Consti-tution’s flexibility has allowed the Supreme Court,Congress, and the president to stretch the govern-ment’s powers to meet the needs of a modern in-dustrial nation. The expansion of the nationalgovernment’s powers has been based on threemajor constitutional provisions: (1) the war pow-ers; (2) the power to regulate interstate commerce;and (3) the power to tax and spend.

War Powers The national government haspower to wage war. This authority has greatly ex-panded the federal government’s power because,in today’s world, national defense involves morethan simply putting troops in the field. Such fac-tors as the condition of the economy and thestrength of the educational system can affect thenation’s military capabilities.

Commerce Power The Constitution givesCongress the authority to regulate commerce.Supreme Court decisions have expanded this power.

The courts today consistently interpret theterm commerce to mean nearly all activities con-cerned with the production, buying, selling, andtransporting of goods. For example, Congresspassed the Civil Rights Act of 1964 forbidding

racial discrimination in public accommodationssuch as hotels and restaurants. In upholding thislaw the Supreme Court reasoned: (a) racial dis-crimination by innkeepers and restaurant ownersmakes it difficult for the people discriminatedagainst to travel and thus restricts the flow of in-terstate commerce; (b) Congress has the power toregulate commerce; (c) therefore, Congress maypass laws against racial discrimination.

Taxing Power Congress has no specific consti-tutional authority to pass laws to promote the gen-eral welfare. Congress does, however, have authorityto raise taxes and spend money for such purposes.

The Sixteenth Amendment, ratified in 1913,gave Congress the power to tax incomes. The in-come tax levied on individual earnings has be-come the major source of money for the nationalgovernment. It has given the national governmentmuch greater financial resources than any state orlocal government has.

Finally, Congress has used its taxing power toincrease the national government’s authority intwo ways. First, taxes may be used to regulate busi-nesses. For example, Congress has put such heavytaxes on certain dangerous products that it is notprofitable for companies to make and sell them.Second, Congress may use taxes to influence statesto adopt certain kinds of programs. Federal law


Civil Rights In 1940, manybusinesses discriminatedagainst African Americans.Congress used its commercepower to desegregate busi-nesses such as this cafe inDurham, North Carolina.

How is the com-merce power ofCongress relatedto desegregation?

Congressional Desegregation

Fighting segregation

106-111 CH04S3-860053 12/1/04 1:51 AM Page 108

allows employers to deduct fromtheir federal taxes any state taxesthey pay to support state unem-ployment programs. This federaltax break helped persuade all thestates to set up their own unem-ployment insurance programs.

Federal Aid to the States

As the national governmenthas grown and enlarged its

powers, Congress has developedtwo major ways to influence thepolicies of state and local govern-ments. The first is by providingmoney through various federalgrants. The second is by imposingmandates that take away, or pre-empt, the ability of state and localgovernments to make their ownpolicies.

Types of Federal Aid The na-tional government has always provided differenttypes of aid to the states. In 1862, for instance,Congress passed a law giving nearly 6 million acresof public land to the states for support of colleges.Since the 1950s, federal aid to state and local gov-ernments has increased tremendously.

The main way the national government pro-vides money to the states is through federalgrants. These are sums of money given to state orlocal governments to be spent for a variety of spe-cific purposes. For example, federal money mightgo to a city to help improve airport runways or toa state for building new roads.

Federal grants redistribute income among thestates. Taxes are collected by the federal govern-ment from citizens in all fifty states; this money isthen allocated through grants to people in otherstates. In this way, federal grants have often workedto help reduce inequalities between wealthy andless wealthy states. The process of deciding howgrant money is allocated can be very political, withstates and their representatives in Congress com-peting fiercely to get as large a share as possible.

States and local offices have learned that alongwith more federal aid comes federal controland red tape. This is because many federal aidprograms provide money only if the state and localauthorities are willing to meet conditions set byCongress.

Preemption Laws Since the mid 1960s, Con-gress has used preemption, or the power to assume responsibility for a state government func-tion, in order to gain authority over a state. Forexample, Congress passed the Nutritional Labelingand Education Act in 1990 to establish nationalfood labeling standards. This law took awaythe power of individual states to set their ownrequirements, even if those requirements weremore strict than the new national standards.

Preemption laws limit the authority of stateand local governments through restraints andmandates. A restraint is a requirement set by Con-gress that prohibits a local or state governmentfrom exercising a certain power. A mandate is afederal order requiring states to provide a service


Critical Thinking From 1952 to 1972, the total number of local governments in the United States decreased by 38,487. What type of local government is most numerous?

Source: U.S. Bureau of the Census.

Nu

mb

er

of

Go

vern

men

t U

nit

s(i

n t

ho

usa

nd

s)

25

50

75

100

125

1952 1962 1972 1982 1992 2002

Year

FederalStateLocal Counties Municipalities Townships and towns School districts Special districtsTotal Government Units

150

3,03419,43116,50613,52235,35687,900

2002

Number of Government UnitsNumber of Government Units

106-111 CH04S3-860053 12/3/04 10:05 AM Page 109

or undertake an activity in a manner that meetsminimum national standards set by Congress. TheAmericans With Disabilities Act, for example,required state and local governments to build ramps

and alter curbs on sidewalksto better accommodate the physi-cally challenged. Federal preemp-tion laws address issues such assetting water quality and clean airstandards and protecting civilrights.

Advocates of states’ rightsdislike the use of preemptionbecause these laws may prevent theenforcement of a state or local law.They also can interfere withthe ability of local and state govern-ments to set priorities for them-selves. Finally, preemption laws donot require Congress to pay for newmandates. Congress can thereforeestablish new programs andregulations and pass the burden ofpaying for them to the states.

The balance of power in thefederal system has shifted fromtime to time. Presidents RonaldReagan and George H.W. Bush putin place several policies thatturned the responsibility for manyfederal programs over to state andlocal governments. The total

amount of federal aid given to the states declinedas well. The relationship between federal and stategovernments is dynamic and is affected by thepolicies of the president and of Congress.

Federal revenue received from the states is not returned equally to the states. Which state receives the highest federal returns? The lowest?

Source: Tax Foundation, Washington, D.C.

87¢

98¢

76¢74¢

$1.31

$1.67 $2.07

$1.61

$1.19

$1.13

$1.52 $1.55

$1.34

$1.00$1.23 77¢ $1.03

$1.09

$1.13

85¢

85¢

62¢65¢

$1.48

$1.89$1.64

$1.01$1.34

$1.07$6.44*

$1.22$1.26

$1.50$1.82

$150

$1.01

$1.06

$1.14

$1.21

$1.91$1.57

$2.37

92¢

78¢

77¢ 88¢88¢

$1.34

$1.0875¢

66¢

*District of Columbia

Federal Revenue Returns to the States, 2002

Federal Revenue Returns to the States, 2002

$1.00 or more of federal spending returned

99¢ or less of federal spending returned

For each dollar of federal taxes sent to Washington, D.C.:


Federalism Write an opinion paper statingyour position on the following question: Shouldthe national government distribute money tostates today with “no strings attached,” orshould the money be directed toward specificprograms? Explain your position.

Checking for Understanding1. Main Idea Using a graphic organizer like the one

below, identify three constitutional provisions thathave been the basis for the tremendous growthof the national government.

2. Define states’ rights position, nationalist position, income tax.

3. Identify Chief Justice Roger B. Taney, CivilRights Act of 1964, “New Federalism.”

4. In what two ways has Congress used its taxingpower to increase the national government’s authority?

Critical Thinking5. Making Comparisons Analyze the major differ-

ence between the states’ rights and the nation-alist views of federalism.


National Government

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111

Background of the CaseThe disposal of solid and liquid wastes is a prob-

lem in urban areas. As the available sites for landfillscontinue to shrink, some metropolitan areas such asPhiladelphia, Pennsylvania, have had to ship theirwastes across state lines. In the early 1970s, the vol-ume of waste being shipped into New Jersey was in-creasing rapidly. The state legislature believed thatthe treatment and disposal of wastes posed a threatto the quality of the environment in the state.

In 1973 the New Jersey legislature passed lawsprohibiting the importation of solid or liquid wastethat originated or was collected outside the territori-al limits of the state. Operators of private landfillsand several cities in other states with whom the collectors had contracts for waste disposal broughtsuit, attacking the New Jersey law as unconstitu-tional. They believed that it violated their right toship materials across state lines under the com-merce clause of the Constitution. The SupremeCourt heard the case of City of Philadelphia v. State of New Jersey in 1978.

The Constitutional IssueIn the United States, power is divided among

the national government, the state governments,and the people. The Constitution gave the nationalgovernment power to regulate interstate com-merce—trade that crosses state lines. In the NewJersey case, the issue was whether liquid and solidwastes could be defined as interstate commerceaccording to the Constitution.

Throughout United States history the SupremeCourt has expanded the definition of interstatecommerce. One early case occurred in 1824. TheCourt decided in Gibbons v. Ogden that travel byship on the Hudson River between New York andNew Jersey was interstate commerce. In the 1930s the Court upheld the Wagner Act, a law that extended the meaning of interstate commerceby allowing Congress to regulate business and laborrelations. The Court also applied a broad definitionof commerce to uphold the Civil Rights Act of 1964, considering the issue of commerce, specifically restaurants, along interstate highways.

Questions to Consider1. What caused new legislation to be passed in

New Jersey in 1973?2. Why do waste haulers consider their shipments

a form of commerce?3. What national impact might a decision concern-

ing New Jersey have?

You Be the JudgeMany states are facing the same environmental

and commerce issues that faced New Jersey. Whatcould be a far-reaching result if the Court decided infavor of New Jersey? In favor of the landfill owners?In your opinion, does the commerce clause apply inthis case? Why or why not?

Debating the CaseDebating the Case

Americans take forgranted the right tounrestricted travel

from one state to another. If we make a purchase outside our homestate, we know we can transport it home without paying a duty orfee. Are there any limits to traffic among the states? The case ofCity of Philadelphia v. State of New Jersey addressed this question.

Landfill in New Jersey

Philadelphia v. State of New Jersey, 1978

CASES TO DEBATE

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The issue of term limits for state and na-tional representatives is just one exampleof how federalism influences the practiceof politics and government. It affects gov-

ernment policy making, the political party system,the political activities of citizens, and the quality oflife in the 50 states.

Federalism and Public PolicyA policy is a stated course of action. A highschool principal says, “It is our policy that

students not park in the teachers’ parking lots.” Alocal store announces,“It is our policy to prosecuteall shoplifters.” In each example, people are defin-ing courses of action they take in response to prob-lems that occur over and over again. Announcing apolicy means that a person or an organization hasdecided upon a conscious, deliberate way of han-dling similar issues.

The course of action a government takes in re-sponse to some issue or problem is called publicpolicy. Federalism affects public policy making intwo ways. First, it affects how and where new poli-cies are made in the United States. Second, it in-troduces limits on government policy making.

New Ideas Develop The existence of 50states and thousands of local governments en-courages experimenting with new policies andideas. Federalism permits states and localities toserve as proving grounds where new policies canbe developed and tested. Georgia, for example,was the first state to allow 18-year-olds to vote.That right has since been given to all Americansthrough the Twenty-sixth Amendment. In 1976Colorado pioneered the use of sunset laws. Sun-set laws require periodic checks of governmentagencies to see if they are still needed. In Califor-nia local interest groups concerned with the en-vironment were able to get the state to start newair-pollution control programs. California lawsbecame a model for national air-pollution laws.

Federalism and PoliticsS e c t i o n 4S e c t i o n 4

Term Limits Dead WASHINGTON, D.C., FEBRUARY 1997

Apolitical reform that started in the states a

decade ago came to a halt in Congress today. A

proposed constitutional amendment to limit the

number of terms

a senator or rep-

resentative could

serve failed to

pass the House.

Not only was the

vote well short of

the two-thirds

majority needed,

but the proposal received less support than the last

time it was considered, in 1995. Although more than

20 states have passed laws limiting the service of

state legislators, the reform now seems unlikely to

reach Congress. “Our existing system of term limits

works splendidly,” claimed Michigan Democrat

John Dingell, “it’s called elections.”


Reader’s Guide

Key Termssunset law, sunshine law, bureaucracy

Find Out■ How has federalism benefited the two-party

system?■ What advantages does federalism provide a

person who may be dissatisfied with conditionsin his or her home state or area?

Understanding ConceptsPublic Policy How does federalism allow for morepolitical participation?

Calls for term limits

112-119 CH04S4-860053 12/1/04 1:52 AM Page 112

In 1967 Florida passed a sunshine law prohibitingpublic officials from holding closed meetings.

Policy may also originate at the national level.Sometimes the national government imposes newpolicies on states in which local pressure groupshave resisted change. Some of the great politicalstruggles in the nation’s history have occurred oversuch policies. In the late 1950s and early 1960s,African Americans struggled to win voting andother civil rights in many states. State and local of-ficials resisted these changes. Eventually, AfricanAmerican leaders attracted enough national atten-tion and support to influence the national govern-ment to force the states to change civil rights andvoting policies.

Federalism and Political Parties

Rival political parties are a key element of democratic government. Politics in

the United States, however, is not a desperate all-or-nothing struggle for control of the nationalgovernment, because federalism makes victories instate and local elections possible. Each political

party has a chance to win some elections some-where in the system. In this way, federalism helpsto lessen the risk of one political party gaining amonopoly on political powers.

After the Civil War, for example, the Democra-tic Party went into a long period of decline on thenational level. Yet the party survived because Democratic candidates managed to maintain con-trol of many state and local offices in the Southernstates. With such state and local bases, the party developed new policies and new leadership withwhich to challenge the majority party.

The Democratic Party controlled the WhiteHouse for only 5 of the 12 presidential terms between1952 and 2000. Democratic organization at the stateand local level, however, enabled the party to win amajority in Congress during most of that period.


David Levitt

Making a DifferenceMaking a Difference David Levitt was only a sixthgrader when he decided todo something about the 30

million people in the United Stateswho go to bed hungry every day.He asked his middle school princi-pal whether he could start a pro-gram to distribute cafeteria left-overs. The principal pointed outthat district health regulations prohibited using previously servedfood. But encouraged by his mother, David put a plan in

motion. First he made his case before the Pinellas Coun-ty (Florida) school board. Afterthe board gave its approval,

he worked to satisfy statehealth department

requirements.Since its begin-

nings in 1994, David’s

food sharing program has distrib-uted more than a half millionpounds of food to county sheltersand food banks.

David’s efforts to help thepeople of his state did not stopwith the distribution of food. As a high school freshman Davidworked on state legislation toprotect donors of surplus foodfrom liability lawsuits. Most importantly, David’s efforts have drawn attention to hungerand the availability of food in his community. David Levitt re-ceived recognition for his hardwork. When he was awarded a Points of Light medal in a White House ceremony in 1996,David asked Mrs. Clinton whatthe White House did with its leftovers.

Points of Light

medal

Student Web Activity Visit the United StatesGovernment: Democracy in Action Web site atgov.glencoe.com and click on Chapter 4–StudentWeb Activities for an activity about federalismand politics.

GOVERNMENT

112-119 CH04S4-860053 12/1/04 1:52 AM Page 113


Political ParticipationFederalism increases opportunities for citi-zens of the United States to participate in

politics at the national, state, and local levels. It alsoincreases the possibility that a person’s participa-tion will have some practical effect at any one ofthese levels.

Many Opportunities Because federalism pro-vides for several levels of government, people haveeasier access to political office. The road to nation-al office often begins at the local or state level. Thisaspect of federalism has tended to preserve politi-cal organization from the bottom up.

American federalism gives citizens manypoints of access to government and increases theiropportunities for influencing public policy. Notedpolitical scientist Martin Grodzins believes thetwo-party system contributes to this access:

“The lack of party discipline produces anopenness in the system that allows individ-uals, groups, and institutions (includingstate and local governments) to attempt toinfluence national policy at every step ofthe legislative process.”—Martin Grodzins, 1985

Americans vote frequently for governors, statelawmakers, mayors, council members, schoolboard members, county prosecutors, and manyother state and local officials. They also vote onsuch local issues as whether to build a mass transitsystem in their city, whether to outlaw smoking inpublic places, or whether to increase property taxesfor schools.

Citizens may also work with interest groups toinfluence national policies and state and local gov-ernment agencies. A group of concerned neigh-bors may petition their county zoning board to setaside nearby land for a public playground. Mem-bers of a local labor union may work together tosupport their union’s efforts to influence passageof a law in the state legislature.

Increasing Chances of Success A relatedeffect of federalism is an increased chance thatone’s political participation will have some practi-cal impact. Most people are more likely to becomeinvolved in political activities if they think there isa reasonable chance their efforts will bear fruit.People working in the campaign of a candidate forcity council, for example, need to persuade rela-tively few voters to elect their candidate. The in-creased chance for success encourages politicalparticipation.


Impact of Parties Clintonand Gore’s Democratic victory at the federal levelwas balanced by Republicanvictories at state and locallevels. How might rival political parties be advan-tageous for a democracy?

A Balanced Party System

RepublicanParty symbol

112-119 CH04S4-860053 12/1/04 1:52 AM Page 114

Federalism’s ProfessionalPoliticians

Since the 1960s more and more public poli-cy has been initiated by people in govern-

ment service. The great increase in federalprograms beginning in the mid-1930s called for alarge bureaucracy, or organization of governmentadministrators, to carry out legislation. As thesebureaucrats gained expertise, they offered moreand more ideas. Political writer Samuel H. Beerdescribes the results:

“In the fields of health, housing, urban re-newal, transportation, welfare, education,poverty, and energy, it has been . . . peoplein government service . . . acting on thebasis of their specialized and technicalknowledge, who first perceived the prob-lem, conceived the program, initially urgedit on president and Congress, went on tohelp lobby it through to enactment, andthen saw to its administration.”—Samuel H. Beer, 1986

Various political analysts have used the termtechnocracy to describe this kind of decision mak-ing which is based on the technical expertise ofprofessionals.

The increase in federal programs also changedthe political relationship of state and federal officials.As mayors and state officials sought to take advan-tage of the new federal programs, they needed towork more closely with federal officials. Organiza-tions such as the United States Conference of Mayorsestablished headquarters in Washington, D. C., tokeep up with events and to stay in touch with law-makers. In time these officials acquired politicalinfluence.

Differences Among the States

Federalism allows for real economic and polit-ical differences among the states because it

permits each state considerable freedom in arrangingits own internal affairs. As a result, some states domore than others to regulate business and industry,

while some provide more health and welfare services.Among the individual states, some have stricter crim-inal law and some have higher taxes.

Because states can create different economic andpolitical environments, Americans have a wide rangeof choices regarding the conditions under which theywant to live, depending upon which state they live in.This also means that when people cross a stateboundary, they become members of a different polit-ical system with its own officials, taxes, and laws.

The Direction of FederalismSince the founding of the country, there hasalways been a debate about what the proper

division of powers between the national govern-ment and the states should be. While the generaltendency over the years has been in favor of the na-tional government, the power balance is constantlyevolving in response to new issues.


The total number of government employees decreased by nearly a million people in the late 1990s. Why would there be more local employees than state and federal employees combined?

Critical Thinking

Source: U.S. Bureau of the Census, 2002.

* Figures do not include military personnel

Total Number in Thousands*

State26%

Federal14%

Local60%

Total: 4,985Total: 2,698

Total: 11,206

Government EmployeesGovernment Employees

112-119 CH04S4-860053 12/7/04 11:07 PM Page 115

In recent decades, Democrats have generallysupported a nationalist position favoring federalgrants that are supervised by Congress and targetedat specific issues. Republicans have favored astates’ rights view and preferred relying upon thejudgment of state and local authorities. Because ofthe relatively even distribution of party seats in re-cent Congresses, legislation has reflected both posi-tions. For example, Congress has given states greatercontrol over spending for rural development,allowed states to set their own highway speed limits,and transferred responsibility for social welfare pro-grams. At the same time, Congress has established

national food safety standards and voided state lawslimiting telecommunications competition.

Scholar Donald Kettl has pointed out that ideasabout federalism go in cycles:

“Complaints about excessive federal controltend to be followed by proposals to shift morepower to state and local governments. Then,when problems arise in state and local ad-ministration—and problems inevitably arisewhen any organization tries to administeranything—demands for closer federal super-vision and tighter federal controls follow.”—Donald F. Kettl, 1987

Federalism at WorkDespite reduced federal aid,Cleveland’s former mayorMichael White adopted a hard-driving business style of management to help turnaround a once-troubled city.How are local leaders, likeMayor White, working to reshape federalism?

Cleveland’s city seal

Accepting New Responsibilities


Public Policy Federalism allows people to haveeasier access to political office and greater opportunities for influencing public policy. Find out the political offices that a person living in your community can vote for on thestate and local levels. Illustrate your findings in a poster display.

Checking for Understanding1. Main Idea Using a graphic organizer like the one

to the right, show two ways that federalism influences public policy making.

2. Define sunset law, sunshine law, bureaucracy. 3. Identify public policy.4. How did African Americans use national

attention to change policy in state and local governments in the 1950s and 1960s?

5. How does federalism affect the two-party systemin the United States?

Critical Thinking6. Making Inferences How does federalism allow

for political and economic diversity among thestates?


Federalism

112-119 CH04S4-860053 12/1/04 1:53 AM Page 116

Analyzing Primary Sources

Primary sources arerecords of events madeby the people who wit-

nessed them. They includeletters, diaries, photographs,news articles, and legal documents.

Primary sources yieldseveral important kinds ofinformation. Often they givedetailed accounts of events.However, the account reflectsonly one perspective. For this reason, you mustexamine as many perspectives as possible beforedrawing any conclusions.

Learning the Skill

To analyze primary sources, follow these steps:• Identify the author of the source.• Identify when and where the document was

written.• Read the document for its content and try

to answer the five “W” questions: Who is it about? What is it about? When did it happen? Where did it happen? Why did ithappen?

• Determine what kind of information maybe missing from the primary source.

Practicing the Skill

The primary source that follows is part of anaddress given by President Eisenhower. Read thesource, and then answer the questions.

September 24, 1957

Whenever normal agencies prove inadequateto the task and it becomes necessary for the

Executive Branch of the Fed-eral Government to use itspowers and authority to up-hold Federal Courts, the Presi-dent’s responsibility isinescapable. In accordancewith that responsibility, I havetoday issued an ExecutiveOrder directing the use oftroops under Federal authorityto aid in the execution ofFederal law at Little Rock,

Arkansas. . . . It was my hope that this localizedsituation would be brought under control bycity and State authorities. If the use of local police powers had been sufficient, our traditionalmethod of leaving the problems in those handswould have been pursued. But when large gatherings of obstructionists made it impossiblefor the decrees of the Court to be carried out,both the law and the national interest demandedthat the President take action.

1. When was this document written?2. What event does the document address?3. Why do you think the document was written?

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School integration in Little Rock

Application ActivityApplication Activity

The Glencoe SkillbuilderInteractive Workbook, Level 2provides instruction and practicein key social studies skills.

Find a primary source from your past—a photo, a report card, an old newspaperclipping, or your first baseball card. Bringthis source to class and explain what itshows about that time in your life.

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Reviewing Key TermsOn a sheet of paper write the headings “NationalGovernment” and “State Government.” Group theterms below under the appropriate heading.

1. implied powers 4. reserved powers2. expressed powers 5. elastic clause3. inherent powers

Recalling Facts1. Name the clause of the Constitution that

resolves conflicts between state law and national law.

2. Describe how Congress gained power to regulate farm production, child labor, wagesand hours, and criminal conduct.

3. What is the major source of income for the national government?

4. How does the federalist system affect politicalparticipation?

5. Who pays for elections of senators, represen-tatives, and presidential electors?

Understanding Concepts1. Federalism Why does the Tenth Amendment

use the term reserved to describe the powersthat belong to the people and the states?

2. Federalism On what historical basis do states’rights supporters argue that the national gov-ernment is only an agent of the states?

3. Public Policy Experts in government agenciesinitiate many national laws in health, the envi-ronment, energy, welfare, education, and busi-ness. Why do these bureaucrats have greatinfluence on legislation and decision making?

Critical Thinking1. Making Comparisons Use a graphic organizer

like the one below to compare PresidentRonald Reagan’s concept of federalism withPresident Franklin D. Roosevelt’s.

2. Identifying Assumptions “Federalism helps lessenthe risk of one political party gaining a monopolyon political powers.” What assumption aboutthe value of a two-party system does thisstatement make?

Assessment and ActivitiesChapter 4Chapter 4

Self-Check Quiz Visit the United States Government:Democracy in Action Web site at gov.glencoe.com andclick on Chapter 4–Self-Check Quizzes to prepare forthe chapter test.

GOVERNMENT

Concepts of Federalism

Roosevelt Reagan

Federal System

Developing Federalism

Federalism and Politics• Federalism determines whether public policy originates at

local, state, or national level• Federalism lessens the risk of one political party

monopolizing power• Federalism gives citizens greater opportunities to participate

in politics

• Constitution delegates certain powers to national government• Some powers are shared by federal government and states• All other powers are reserved to the states or the people

• States’ rights position favors the power of states over national government

• Nationalist position favors supremacy of national governmentover states

• Size and power of national government expanded over theyears to meet the needs of a modern industrial nation

• Today states are gaining responsibility as federal governmentloosens regulations

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Analyzing PrimarySourcesIn 1964 Lyndon B. Johnson de-clared his desire to create aGreat Society that would utilizethe wealth of the nation to meetthe needs of all of its people.Read the excerpt from hisspeech, and answer the questions that follow.

“The Great Society rests on abundanceand liberty for all. It demands an end to poverty and racial injustice, to whichwe are totally committed in our time.But that is just the beginning. . . .

So I want to talk to you today aboutthree places where we begin to buildthe Great Society—in our cities, in ourcountryside, and in our classrooms. . . .

The catalog of ills is long: there is the decay of the centers and the despoiling of the suburbs. There is not enough housing for our people ortransportation for our traffic. Openland is vanishing and old landmarksare violated. . . .

But I do promise this: We are going to assemble the best thought and the broadest knowledge from all over the world to find those answers for America. I intend to establish working groups to prepare a series of White Houseconferences and meetings—on the cities, on natural beauty,on the quality of education, and on other emerging chal-lenges. And from these meetings . . . we will begin to set ourcourse toward the Great Society.”

1. How do you think President Johnson interpretedhis executive powers based on an interpretationof the "necessary and proper" clause? Did heinterpret this clause loosely or more strictly?

2. Do you believe Johnson was acting within hispower to enact a program like the Great Society?Explain.

Applying Technolgy SkillsUsing the Internet Use the Library of Con-gress Web site to find out about several bills that


Chapter 4Chapter 4

Interpreting Political Cartoons Activity

1. How does this cartoon demonstrate the states’ rights positionof federalism?

2. How are the American people “bossed around” by federalbureaucrats?

3. Is the speaker probably a state or federal official? Why?

“Look, the American people don’t want to be bossed around by federal bureaucrats. They want to be bossed around

by state bureaucrats.”

are being considered in the current congressionalterm. Identify the kind of power—expressed,implied, or inherent—that each piece of legislation illustrates.

Participating in Local GovernmentCongress has the power to add new states to theUnion. Find out how andwhen your state was firstsettled, developed govern-ment, and was admitted to theUnion. Use research materials fromyour school or local library and present your findings in an illustrated report. Create a time line that includes important governmental developments.

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Chapter 4: The Federal System...state governments affect your life, view the Democracy in Action...

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Transcript of Chapter 4: The Federal System...state governments affect your life, view the Democracy in Action...