Chapter 3: Federalism · A Confederal System Power is retained by local or regional governments....

Chapter 3: FederalismChapter 3: Federalism

Copyright © 2010 Cengage Learning 2

A Unitary SystemA Unitary System

Central government gives power to sub-national governments (counties, provinces, etc.).

Local governments typically have only those powers granted to them by the central government, rather than any reserved powers.

Especially important is the central government’s role as provider of funds.


A Confederal SystemA Confederal System

Power is retained by local or regional governments.

Example: The European Union


A Federal SystemA Federal System

Divides power between the national and lower level governments.

Each government has distinct powers that the other governments cannot override.

Examples: Australia, Brazil, Canada, Germany, India, Mexico, and the United States.


Why Federalism?Why Federalism?

The authors of the Constitution wanted to combine a central government strong enough to maintain order with strong states.

The large geographical size of a country.

State governments have served as training grounds for national politicians and as laboratories in which new ideas can be tested.

Federalism allows for many political subcultures.


Arguments Against Federalism

Arguments Against Federalism

A way for powerful states to block plans

Inequalities across states

Some see expansion of national powers as a danger

The influence of James Madison ©The Granger Collection, New York


The Federal SystemThe Federal System

Scholars and political leaders alike have debated the relative merits and drawbacks of federalism since the founding of the republic.

The following slide lists some of the major arguments that have been made.


The Federal System (cont.)The Federal System (cont.)


The Flow of Power in Three Systems of Government

The Flow of Power in Three Systems of Government


Powers of the National Government

Powers of the National Government

Enumerated Powers• The Necessary and Proper Clause

Implied Powers

Inherent Powers


Powers of State Governments


According to the Tenth Amendment, all powers that were not delegated to the national government.

In theory, states still retain all powers not delegated to the national government, but in reality the national government has expanded the scope of governmental action on a grand scale.




Police power:In the United States, most police power is reserved to the states.


Concurrent PowersConcurrent Powers

Concurrent Powers

Power toTax

Power To Make and

Enforce Laws

Power To Establish Courts

National Government

Power To Police

(Limited)

State Government


Prohibited PowersProhibited Powers

Apply to both the national and state governments• The national government

is prohibited from taxing exports.

• State governments are prohibited from conducting foreign policy and from coining money.

“Congress…has the power to coin money.”

© AP/ Wide World Photos


Supremacy ClauseSupremacy Clause

Article VI of the Constitution mandates that actions by the national government are supreme.

Any conflict between a legitimate action of the national government and a state will be resolved in favor of the national government.


Vertical Checks and Balances

Vertical Checks and Balances

Federalism can be seen as an additional way of preventing government from growing too strong, beyond the division of the national government into the legislative, executive, and judicial branches.


Interstate RelationsInterstate Relations

Article IV of the Constitution attempts to resolve potential problems between states by stipulating the following:• Full faith and credit clause—states must honor

actions of other states• Privileges and immunities• Interstate extradition• Interstate compacts


Defining Constitutional Powers

Defining Constitutional Powers

McCulloch v. Maryland (1819)

Gibbons v. Ogden(1824)

© Bettmann /Corbis

Chief Justice John Marshall:“Let the end be legitimate.”


States’ RightsStates’ Rights

The Jacksonian Era and the shift back to States’ Rights


Library of Congress

The Civil WarThe Civil War


Dual FederalismDual Federalism

Emphasized dividing the state and national spheres of power into entirely separate jurisdictions.

Part of the Supreme Court’s attempt to regain its powers after the Civil War.


The New Deal and Cooperative Federalism


New Deal legislation vs. Dual Federalism

Cooperative federalism emphasized an expanded role for the national government, and cooperation between the national government and the states.


Share of Nonmilitary Spending by the Federal, State, and Local Governments before and after the Passage of New Deal Legislation

Share of Nonmilitary Spending by the Federal, State, and Local Governments before and after the Passage of New Deal Legislation




Roosevelt’s programs typically were funded by the federal government, but administered by states and local governments, thus creating a cooperative framework for federalist relations.

Often called picket-fence federalism


1935: President Franklin D. Roosevelt Signs the Social Security Act

© UPI /Bettman /Corbis


Implementing Cooperative Federalism

Implementing Cooperative Federalism

Categorical Grants

“Strings-Attached” Federal Grants

Block Grants

Federal Mandates


Where the Money Goes Where the Money Goes


Changing Federal Grants to State and Local

Governments

Changing Federal Grants to State and Local

Governments

Source: Budget of the U.S. Government, Fiscal Year 2007, table 12.1.


Federal Grants to State and Local Governments,

2008 (in billions of dollars)

Federal Grants to State and Local Governments,

2008 (in billions of dollars)

Source: Budget of the U.S. Government, Fiscal Year 2009.


The Shift Toward Central

Government Spending

The Shift Toward Central

Government Spending


The Politics of FederalismThe Politics of Federalism

States’ rights have been associated with conservatism, and national authority has been associated with liberalism. Why?


Accomplishments of National Authority

Accomplishments of National Authority

Economic relief

Civil rights and the War on Poverty

States favor the status quo


HMOs: State or Federal Regulations?

HMOs: State or Federal Regulations?

Click the icon to open the movieVideo Supplied by Motion Gallery


Questions Questions

Should federal or state regulations provide guidelines for HMOs? Why?

Who benefits if lawsuits against HMOs or other medical providers can be filed only at the state level?

Are HMOs seen as local, state or national providers of services?


Federalism Becomes a Republican Issue

Federalism Becomes a Republican Issue

“New Federalism.” Beginning with President Richard Nixon (1969–1974), the Republican Party championed devolution, or the transfer of powers from the national government to the states. They called this policy federalism, a new use of the term.

Under current conditions liberals may have pragmatic reasons to support states’ rights in some instances, such as in gay rights issues.


Federalism and the Supreme Court

Federalism and the Supreme Court

Reigning in the Commerce Power

State Sovereignty and the Eleventh Amendment

Tenth Amendment Issues


Questions for Critical Thinking

Questions for Critical Thinking

Name some examples in which the supremacy doctrine has practical effect.

Discuss the importance of the case of Gibbons v. Ogden (and the cases that were based on its principles).

What are some obstacles to devolution? Are there any disadvantages to the new federalism?


Web Links Web Links

National Conference of State Legislatures

National Governors Association

The Center for Public Integrity

Department of Homeland Security


Web Links Web Links

Close Up Foundation

The James Madison Institute

ThisNation.com


Web Links Web Links

National Conference of State Legislatures

National Governors Association

The Center for Public Integrity

Department of Homeland Security

Chapter 3: Federalism · A Confederal System Power is retained by local or regional governments....

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