Chapter 3


Chapter 3: Federalism

• Defining Federalism• The Constitutional Basis of

Federalism• Intergovernmental Relations Today• Understanding Federalism• Summary


Chapter Outline and Learning Objectives

• Defining Federalism• LO 3.1: Define federalism and explain its

consequences for American politics and policy.



• 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.



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

cooperative federalism and the role of fiscal federalism in intergovernmental relations today.

• Understanding Federalism• LO 3.4: Assess the impact of federalism on

democratic government and the scope of government.

Defining FederalismLO 3.1: Define federalism and explain its consequences for American politics and policy.

• What Is Federalism?• Why Is Federalism So Important?

To Learning ObjectivesCopyright © 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.

To Learning Objectives

LO 3.1

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

LO 3.1


Defining Federalism

• Why Is Federalism So Important?• Decentralizes our politics – So there are

more opportunities for political participation.

• Decentralizes our policies – So federal and state governments handle different problems.


LO 3.1

The Constitutional Basis of FederalismLO 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’ Obligation To Learning

Objectives s 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 – States “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.

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


LO 3.2


LO 3.2



• States’ Obligations to Each Other• Full Faith and Credit – Article IV, Section I

of the Constitution requires each state to recognize the public acts, records, and judicial proceedings of all other states.


LO 3.2


LO 3.2



• States’ Obligations to Each Other (cont.)• Extradition – Article IV, Section II of the

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 – The Article

IV, Section II of the Constitution requires states to give citizens of each state the privileges of citizens of other states.


LO 3.2

Intergovernmental Relations TodayLO 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 increase 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 states governments to comply with federal rules under threat of penalties or as a condition of receipt of a federal grant.


LO 3.3

Understanding FederalismLO 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


LO 3.4



• Federalism and Democracy (cont.)• States have different qualities and

quantities of public services.• Local interests 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 3.1Summary

• Defining Federalism• 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 3.2Summary

• The Constitutional Basis of Federalism• 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 3.2Summary

• The Constitutional Basis of Federalism (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 3.2Summary

• The Constitutional Basis of Federalism (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 3.3Summary

• Intergovernmental Relations Today• 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 3.3Summary

• Intergovernmental Relations Today (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 3.4Summary

• Understanding Federalism• 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 3.4Summary

• 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 3.4Summary

• 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.

• 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 12.2.

• 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 15.3.


Photo Credits

• 66: AP Photos• 76: Hulton Archive/Getty Images• 77: AP Photos• 80: AP Photos • 84: Michael Newman/PhotoEdit• 86: Herb Block Foundation

Chapter 3

Documents

Transcript of Chapter 3