Copyright © 2011 Pearson Education, Inc. Publishing as Longman


Chapter 3: Federalism

• Defining Federalism

• The Constitutional Basis of

Federalism

• Intergovernmental Relations Today

• Understanding Federalism

• Summary


Chapter Outline and Learning

Objectives


• LO 3.1: Define federalism and explain its

consequences for American politics and

policy.



Objectives

• The Constitutional Basis of Federalism

• LO 3.2: Outline what the Constitution says

about division of power between national

and state governments and states'

obligations to each other and trace the

increasing importance of the national

government.



Objectives


• LO 3.3: Characterize the shift from dual to

cooperative federalism and the role of fiscal

federalism in intergovernmental relations

today.


• LO 3.4: Assess the impact of federalism on

democratic government and the scope of

government.

Defining Federalism LO 3.1: Define federalism and explain its

consequences for American politics and

policy.

• What Is Federalism?

• Why Is Federalism So Important?

To Learning Objectives Copyright © 2011 Pearson Education, Inc. Publishing as Longman


Defining Federalism

• What Is Federalism?

• Federalism – Organizing a nation so that two or more levels of government have formal authority over the same land and people.

• Unitary governments – Organizing a nation so all power resides in the central government.

• Confederation – A nation in which the national government is weaker than the states.

LO 3.1

To Learning Objectives

LO 3.1



Defining Federalism

• Why Is Federalism So Important?

• Decentralizes our politics – More

opportunities for political participation.

• Decentralizes our policies – Federal and

state governments handle different

problems.

LO 3.1


LO 3.1


The Constitutional Basis of Federalism LO 3.2: Outline what the Constitution says

about division of power between national and

state governments and states' obligations to

each other, and trace the increasing importance

of the national government.

• The Division of Power

• Establishing National Supremacy

• States’ Obligations to Each Other



The Constitutional Basis of Federalism

• The Division of Power

• Supremacy Clause – Article VI of the Constitution states the U.S. Constitution, laws of Congress, and treaties are supreme.

• Tenth Amendment – “The powers not delegated to the U.S. by the Constitution, nor prohibited by it to the states, are reserved to the states respectively, or to the people.”

LO 3.2


LO 3.2




• Establishing National Supremacy

• Implied Powers - McCulloch v. Maryland (1819) ruled Congress had implied powers in addition to its enumerated powers.

• Commerce Power - Gibbons v. Ogden (1824) defined commerce very broadly to encompass virtually every form of commercial activity.

LO 3.2




• Establishing National Supremacy (cont.)

• The Civil War – Militarily the national government asserts its power over the Southern states’ claim of sovereignty.

• The Struggle for Racial Equality – Brown v. Board of Education (1954) outlawed segregation in the public schools.

LO 3.2


LO 3.2




• States’ Obligations to Each Other

• Full Faith and Credit – Article IV, Section I

of Constitution requires each state to

recognize the public acts, records, and

judicial proceedings of all other states.

LO 3.2




• States’ Obligations to Each Other (cont.)

• Extradition - Article IV, Section II of

Constitution requires a state to surrender a

person charged with a crime to the state in

which the crime is alleged to have been

committed.

LO 3.2




• States’ Obligations to Each Other (cont.)

• Privileges and Immunities – Article IV,

Section II of Constitution requires states to give

citizens of each state the privileges of citizens

of other states.

LO 3.2


Intergovernmental Relations Today LO 3.3: Characterize the shift from dual to

cooperative federalism and the role of fiscal

federalism in intergovernmental relations

today.

• From Dual to Cooperative Federalism

• Devolution?

• Fiscal Federalism



Intergovernmental Relations Today

• From Dual to Cooperative Federalism

• Dual Federalism – A system of

government in which both the states and

the national government remain supreme

within their own spheres, each responsible

for some policies.

LO 3.3




• From Dual to Cooperative Federalism (cont.)

• Cooperative Federalism – A system of government in which powers and policy assignments are shared between states and the national government.

• Standard operating procedures of cooperative federalism - Shared costs, federal guidelines, and shared administration.

LO 3.3


LO 3.3




• Devolution?

• Devolution – Transferring responsibility for

policies from the federal government to

state and local governments.

• State and local governments are mostly

responsible for handling crime, welfare, and

education.

LO 3.3




• Fiscal Federalism

• Fiscal Federalism – Pattern of spending, taxing, and providing grants in the federal system.

• Federal grants to state and local governments have grown rapidly and now amount to more than $600 billion per year.

• Grants increased in 2010 and 2011 due to the stimulus package.

LO 3.3


LO 3.3




• Fiscal Federalism (cont.)

• The Grant System: Distributing the Federal Pie ($600 billion)

• Categorical grants (project grants and formula grants) can be used for specific purposes and have strings attached.

• Block grants support programs in community development and social services.

LO 3.3


LO 3.3




• Fiscal Federalism (cont.)

• Scramble for Federal Dollars – Grant

distribution ($600 billion yearly) is

universalism; a little something for

everybody.

• Mandate Blues - Mandates direct state

governments to comply with federal rules

under threat of penalties or as a condition

of receipt of a federal grant.

LO 3.3


Understanding Federalism LO 3.4: Assess the impact of federalism on

democratic government and the scope of

government.

• Federalism and Democracy

• Federalism and the Scope of the

National Government



Understanding Federalism

• Federalism and Democracy

• Increases access to government.

• Local problems can be solved locally.

• An interest concentrated in a state can exercise substantial influence in the election of that state’s officials.

• Hard for political parties to dominate all politics.

LO 3.4




• Federalism and Democracy (cont.)

• States have different quality and quantity of

public services.

• Local interest can counteract and impede

national interests.

• Having so many governments (89,527

American governments) makes it difficult to

know which governments are doing what.

LO 3.4


LO 3.4




• Federalism and the Scope of the

National Government

• National power increased with

industrialization, expansion of individual

rights, and social services.

• Most issues, concerns, and problems

require resources afforded to the

national, not state, governments.

LO 3.4


LO 3.4



LO 3.1 Summary


• Federalism is a way of organizing a nation so

that two or more levels of government have

formal authority over the same area and

people.

• It decentralizes both politics and policy in the

United States.



Federalism is organizing a nation so that

or more levels of government have formal

authority over the same land and people.

A. 1

B. 2

C. 3

D. 4

LO 3.1



LO 3.2 Summary


• The Constitution divides power between the

national (federal) government and state

governments and makes the national

government supreme within its sphere.

• The national government has implied as well

as enumerated powers, as McCulloch v.

Maryland made clear.



LO 3.2 Summary


(cont.)

• Civil War helped establish national supremacy,

and the Supreme Court has interpreted the

constitutional powers of the national

government broadly, as Washington has taken

on more responsibilities to deal matters such

as the economy and civil rights.



LO 3.2 Summary


(cont.)

• States have obligations to give full faith and

credit to the public acts, records, and civil

judicial proceedings of other states, return a

person charged with a crime in another state to

that state, and accord citizens of other states

the privileges and immunities enjoyed by their

own citizens.



The “full faith and credit” clause in Article IV

of the Constitution is primarily designed to

ensure between states.

A. communication

B. reciprocity

C. honesty

D. commerce

LO 3.2



LO 3.3 Summary


• States no longer have exclusive responsibility

for those government functions that are within

its sphere but instead share these

responsibilities with the federal government.



LO 3.3 Summary


(cont.)

• Through categorical and block grants, the

federal government provides state and local

governments with substantial portions of their

budgets and it uses this leverage to influence

policy by attaching conditions to receiving the

grants.



The shift from dual to cooperative

federalism involved a gradual _____.

A. devolution in federal influence over

states.

B. shift for the implementation of the

New Deal.

C. change in many policy areas,

including education.

D. shift from presidential to

congressional dominance.

LO 3.3



LO 3.4 Summary


• On the positive side, federalism reduces

conflict at the national level, encourages

acceptance of losing elections, and increases

the opportunities for citizens to participate in

government and see their policy preferences

reflected in law.



LO 3.4 Summary

• Understanding Federalism (cont.)

• On the negative side, it may increase

inequities between states with different levels

of resources, discourage states from providing

services, allow local interests to thwart national

policy, and complicate efforts to make

government responsive.



LO 3.4 Summary

• Understanding Federalism (cont.)

• The national government has grown in

response to the demands of Americans for

public services it can best provide, but it has

not in any way supplanted the states.



The federal government’s share of

governmental expenditures has grown

rapidly since the _____.

A. New Deal.

B. Civil War.

C. Great War.

D. Civil Rights Movement.

LO 3.4



Text Credits

• Office of Management and Budget, Budget of the United States

Government, Fiscal Year 2011: Historical Tables (Washington,

DC: U.S. Government Printing Office, 2010), Table 12.1.


Government, Fiscal Year 2011: Historical Tables (Washington, DC:

U.S.Government Printing Office, 2010), Table 12.2.


Government, Fiscal Year 2011: Historical Tables (Washington, DC:

U.S. Government Printing Office, 2010), Table 15.3.


Photo Credits

• 64: AP Photo

• 65T: Joe Raedle/Getty Images

• 65TC: Hulton Archive/Getty Images

• 65TB: AP Photo

• 65B: Michael Newman/PhotoEdit

• 68: Joe Raedle/Getty Images

• 73: Hulton Archive/Getty Images

• 74: AP Photo

• 75: AP Photo

• 79: Michael Newman/PhotoEdit

• 81: Herb Block Foundation

• 82: Ron Sachs/Pool/Getty Images

• 87: Tom Cheney/The New Yorker Cartoon Bank. www.cartonbank.com

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