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Page 1: Chapter 3: Federalism - FISDteachers.fisd.org/Teachers/tomm/SiteAssets/SitePages/AP U.S... · Chapter 3: Federalism FEDERAL STATE LOCAL 1. Federalism ... Types of Governments

Chapter 3: Federalism

FEDERAL

STATE

LOCAL

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Federalism In a federal system, government is divided

between the national and sub-national

levels.

– In the U.S., the state governments are the most

important level.

– Local governments are units of the states.

Each level of government has its own

powers and responsibilities.

– Often, their governmental spheres overlap.

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Types of Governments Federal Government

– Government is divided into more than one

level.

– Different bodies share power over the same

group of people.

Every citizen of the U.S. must obey both federal

laws and the laws of his/her state.

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Unitary Governments

– Only one central government has authority over

the nation.

– There are no levels of government that share

power.

– Most countries today have either a federal or

unitary form of government.

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Confederation

– An association of states with some authority

delegated to a national government.

– The states in a confederate system retain most

of the power, but the national government is

authorized to carry out some functions, such as

diplomatic relations.

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Defining FederalismUnitary Confederate Federal

Central Holds primary

authority

Regulates

activities of states

Limited powers

regarding states

Shares power with

the states

State Little or no

powers

Regulated by

central

government

Sovereign

Allocate some

duties to central

government

Shares power with

the central

government

Citizens Vote for central

government

officials

Vote for state

government

officials

Votes for both

state & central

officials

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Federalism Decentralizes Government

A federal system of government

decentralizes power.

Provides opportunities for political

participation at all levels:

– Citizens can run for numerous government

positions or take part in campaigns at different

levels.

Provides access:

– Citizens can elect local, state, and national

representatives.

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Decision-making occurs at all levels:

– Decisions can be made at lower levels, thereby

allowing the federal government to concentrate

more fully on fewer issues.

Political parties can function at two levels:

– The loss of any one election does not pose as

serious a setback.

– It is less likely that one party will dominate the

whole political system.

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Intergovernmental relations:

– Intergovernmental relations become especially

important in a federal system because of the

elaborate communication that is necessary to

share power.

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Decentralized Policy

Policymaking is shared between levels.

– Often, states act as innovators by trying out

new laws before they are adopted nationally.

Policies can be made separately.

– Family and social issues are usually addressed

by state laws.

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Policies may be discussed at both levels.

– Issues of the economy, environment, and

equality are addressed by both federal and state

laws.

Debate arises over which level of

government should have authority over an

issue.

– This debate facilitated the development of the

court system.

– The court’s determine whether a state or federal

law is constitutional.

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Powers Delegated for the Federal Govt.

Coin money

Regulate the economy and foreign and

interstate commerce.

Declare war.

Manage national military.

Direct foreign relations.

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Powers Reserved for State Governments

Create local level of government.

Regulate intrastate commerce.

Hold elections.

Ratify amendments.

Conduct social policymaking.

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Shared Powers by Both Federal and

State Governments

Make and enforce laws.

Collect taxes.

Maintain court systems.

Allocate money for public needs.

Propose amendments.

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Defining Federalism

Why is Federalism So Important?

– Decentralizes our politics

More opportunities to participate

– Decentralizes our policies

Which government should take care of which

problem?

States can solve the same problem in different ways.

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The Constitutional Basis of

Federalism

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The Constitutional Basis of

Federalism

The Division of Power (ladder of authority)

– The U.S. Constitution

– Laws of Congress

– Treaties

– U.S. Supreme Court Decisions

– State Constitutions

– State Laws

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The Division of Power

The writers of the Constitution carefully

defined the powers of the state and national

governments.

The supremacy clause deals with the

question of which government should

prevail in disputes between the states and

the national government.

– In cases of discrepancy, federal laws usually

supersede state laws.

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Supremacy Clause

Article VI (6) states that three items are the

supreme law of the land:

– The Constitution

– Laws of the national government, when

consistent with the Constitution.

– Treaties, which can only be made by the

national government.

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Enumerated Powers

Located in Article I, section 8 of the

Constitution.

Lists powers granted to the national

government, and specifically to Congress.

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The Tenth Amendment

Located in the Bill of Rights.

Grants all powers not specifically delegated

to the national government are reserved to

the states.

Often cited in arguments in favor of states’

rights.

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Implied Powers

• Established in McCulloch v. Maryland

(1819)

• Case involved the states battling the federal

government over the establishment of a national

bank.

• The Supreme Court, under Chief Justice John

Marshall, ruled against the states, thereby

reinforcing the supremacy of the national

government.

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Implied powers come from the Elastic

clause of the Constitution.

– Located in Article 1, Section 8

– Also called the “necessary and proper” clause

– Gives Congress the authority to pass any laws

necessary to carry out its duties as enumerated

in the Constitution.

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The elastic clause, as interpreted in

McCulloch v. Maryland, allows Congress to

act on implied powers that are not

specifically defined in the Constitution.

Gibbons v. Ogden (1824) further expanded

Congress’ implied powers to regulate

commerce between the states. (interstate)

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Full Faith and Credit Clause

A State’s obligations to all other states are

outlined in Article IV (4).

States are required to give full faith and credit to

the public acts, records, and civil proceedings of

every other state.

Each state must formally recognize the documents

and judgments handed down by courts in other

states.

This clause helps coalesce the state laws under the

national umbrella.

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Extradition Located in Article IV, Section 2.

Requires the return (extradition) of fugitive

criminals arrested in one state to the state in which

the crime was committed for prosecution.

States are required to return a person charged

with a crime in another state to that state for trial

or imprisonment when the governor of the state

demands it.

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Privileges and Immunities Clause

Citizens of each state receive all the

privileges and immunities of any other state

in which they happen to be.

– Located in Article IV, Section 2.

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States act as a national laboratory to

develop and test public policies

– States share the results with other states and the

national government.

– Helps unify the states by assuring that all

citizens are treated equally when they travel

from state to state.

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Intergovernmental

Relations Today

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Dual Federalism (layer cake federalism)

Definition: A system of government in

which both the states and the national

government remain supreme within their

own spheres, each responsible for some

policies.

– Each level of government has distinct

responsibilities that do not overlap.

– Ended in the 1930’s

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Cooperative Federalism

(marble cake federalism)

– Definition: A system of government in which

powers and policy assignments are shared

between states and the national government.

– Shared costs: to receive financial aid, states

must pay for part of the program.

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– Federal guidelines: to receive funding, state

programs must follow federal rules and

regulations.

– Shared administration: though programs must

adhere to basic federal guidelines, they are

administered according to the state’s directives.

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Fiscal Federalism

The system of distributing federal money to

state governments.

Definition: The pattern of spending, taxing,

and providing grants in the federal system;

– it is the cornerstone of the national

government’s relations with state and local

governments.

About a quarter of states’ fiscal spending is

derived from federal aid.

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– Money is distributed through relatively restrictive categorical grants and block grants, which allow states more spending discretion.

Categorical Grants: Federal grants that can be used for specific purposes. They have strings attached

– Project Grants- based on merit

– Formula Grants: amount varies based on formulas

Block Grants: Federal grants given more or less automatically to support broad programs.

– Grants are given to states & local governments

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Fiscal Federalism

The Scramble for

Federal Dollars

– $300 billion in

grants every year

– Universalism- a

little something for

everybody even

though some money

goes where it is not

really needed.

Functions of Federal Grants

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Mandates

Mandates are the “strings” attached to federal

money

Underfunded mandates – extending a program that

is administered by the states and only partly

funded by the national govt.

State govt must budget more funds for the project in

order to receive federal grant money.

• Unfunded mandates are requirements on state &

local governments to spend state money to comply

with federal laws- but no federal grant money.

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Understanding Federalism Advantages for

Democracy

– Increasing access to

government

– Local problems can be

solved locally

– Hard for political

parties / interest groups

to dominate ALL

politics

Disadvantages for Democracy

– States have differentlevels of service

– Local interest can counteract national interests

– Too many levels of government- too much money (87,504 governments)

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