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Chapter 3: Federalism
FEDERAL
STATE
LOCAL
1
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.
2
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.
3
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.
4
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.
8
Intergovernmental relations:
– Intergovernmental relations become especially
important in a federal system because of the
elaborate communication that is necessary to
share power.
9
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.
15
The Constitutional Basis of
Federalism
16
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.
20
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.
21
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.
22
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.
23
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.
25
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.
26
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.
27
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.
28
Intergovernmental
Relations Today
29
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
30
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.
31
– 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.
32
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.
33
– 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
34
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
35
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.
36
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)
37