Chapter 3: Federalism
A 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.
Copyright © 2009Cengage Learning
2
A Confederal System
 Power is retained by
local or regional
governments.
 Example:
The European Union
Copyright © 2009Cengage Learning
3
A 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.
Copyright © 2009Cengage Learning
4
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.
Copyright © 2009Cengage Learning
5
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
Copyright © 2009Cengage Learning
©The Granger Collection, New York
6
The 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.
Copyright © 2009Cengage Learning
7
The Federal System (cont.)
Copyright © 2009Cengage Learning
8
The Flow of Power in Three
Systems of Government
Copyright © 2009Cengage Learning
9
Powers of the National
Government
 Enumerated Powers
• The Necessary and Proper Clause
 Implied Powers
 Inherent Powers
Copyright © 2009Cengage Learning
10
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.
Copyright © 2009Cengage Learning
11
12
Powers of State
Governments
 Police power:
In the United States,
most police power is
reserved to the states.
Copyright © 2009Cengage Learning
13
Concurrent Powers
Concurrent
Powers
Power to
Tax
Copyright © 2009Cengage Learning
National
Government
State
Government
Power To Make
and
Enforce Laws
Power To
Establish
Courts
Power To
Police
(Limited)
14
Prohibited 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.
Copyright © 2009Cengage Learning
© AP/ Wide World Photos
“Congress…
has the power
to coin money.”
15
Supremacy 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.
Copyright © 2009Cengage Learning
16
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.
Copyright © 2009Cengage Learning
17
Interstate 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
Copyright © 2009Cengage Learning
18
Defining Constitutional
Powers
 McCulloch v.
Maryland (1819)
 Gibbons v. Ogden
(1824)
© Bettmann /Corbis
Chief Justice John Marshall:
“Let the end be legitimate.”
Copyright © 2009Cengage Learning
19
States’ Rights
 The Jacksonian Era and the shift back to
States’ Rights
Copyright © 2009Cengage Learning
20
The Civil War
Library of Congress
Copyright © 2009Cengage Learning
21
Dual 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.
Copyright © 2009Cengage Learning
22
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.
Copyright © 2009Cengage Learning
23
Share of Nonmilitary
Spending by the
Federal, State, and
Local Governments
before and after
the Passage of New
Deal Legislation
Copyright © 2009Cengage Learning
24
Share of Nonmilitary Spending by the Federal,
State, and Local Governments before and
after the Passage of New Deal Legislation
Copyright © 2009Cengage Learning
25
The New Deal and
Cooperative Federalism
 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
Copyright © 2009Cengage Learning
26
 1935: President
Franklin D.
Roosevelt Signs
the Social
Security Act
© UPI /Bettman /Corbis
Copyright © 2009Cengage Learning
27
Implementing
Cooperative Federalism
 Categorical Grants
 “Strings-Attached” Federal Grants
 Block Grants
 Federal Mandates
Copyright © 2009Cengage Learning
28
Where the Money Goes
Copyright © 2009Cengage Learning
29
Federal Grants to State
and Local Governments:
1980–2007
Copyright © 2009Cengage Learning
30
Where the Money Goes:
Federal Grants to State and Local Governments,
by Function, 2007 (in billions of dollars)
Copyright © 2009Cengage Learning
31
© 2003 AP/Wide World Photos
Copyright © 2009Cengage Learning
32
The Shift
Toward
Central
Government
Spending
Copyright © 2009Cengage Learning
33
The Politics of Federalism
 States’ rights have been associated with
conservatism, and national authority has been
associated with liberalism. Why?
Copyright © 2009Cengage Learning
34
Accomplishments of
National Authority
 Economic relief
 Civil rights and the War on Poverty
 States favor the status quo
Copyright © 2009Cengage Learning
35
Reuters/David J. Phillip/Pool/Landov
Copyright © 2009Cengage Learning
36
Questions
 Which level of government do you believe should have taken
the lead in terms of addressing this situation—the federal
government, the state governments or the local governments?
 Is it possible for the different levels of government to
coordinate their efforts and fully and effectively cooperate in
helping Americans?
Copyright © 2009Cengage Learning
37
Questions (cont.)
 The blame game is difficult and dangerous to play,
yet if it is played to whom would you assign the
greatest degree of blame for the failure of
government to respond to this disaster—the
President of the United States, the Governors of
Louisiana and Mississippi, or the mayors of the cities
that were hit the hardest, especially New Orleans?
Copyright © 2009Cengage Learning
38
Questions (cont.)
 Place yourself in the position of being an
advisor to George W. Bush. How would you
have counseled him to respond to the
aftermath of Katrina? What role do you
believe the President of the United States
should play in this sort of situation?
Copyright © 2009Cengage Learning
39
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.
Copyright © 2009Cengage Learning
40
© 2004 AP/Wide World Photos
Copyright © 2009Cengage Learning
41
Political Culture Is
Reflected in State’s Policies
Copyright © 2009Cengage Learning
42
Federalism and the
Supreme Court
 Reigning in the Commerce Power
 State Sovereignty and the Eleventh
Amendment
 Tenth Amendment Issues
Copyright © 2009Cengage Learning
43
Federalism:
Deciding Who Decides
 How did Marshall’s interpretation of the
necessary and proper clause in McCulloch v.
Maryland shift the balance of power between
states and the federal government?
Copyright © 2009Cengage Learning
44
Federalism:
Deciding Who Decides
 How can such varied forms of Federalism
exist under one Constitution?
 What has contributed to the flexibility of state
and federal powers?
Copyright © 2009Cengage Learning
45
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?
Copyright © 2009Cengage Learning
46
Web Links
 National Conference of State Legislatures
 National Governors Association
 The Center for Public Integrity
 Department of Homeland Security
Copyright © 2009Cengage Learning
47
Web Links
 Close Up Foundation
 The James Madison Institute
 ThisNation.com
Copyright © 2009Cengage Learning
48