Federalism
3
Video: The Basics
3
http://media.pearsoncmg.com/ph/hss/SSA_SHARED_MED
IA_1/polisci/presidency/Seg2_Federalism_v2.html
Essential Question:
Define Federalism and contrast it
with alternative ways of organizing a
nation.
Defining Federalism
 What is federalism?
 Unitary system
 Power given to central government
 Confederation
 Weak national government and power given to states
 Intergovernmental relations
3.1
Authority relations in three systems of
government
3.1
3.1 Which organizing system does
the government in the United States
use?
a. Confederate
b. Unitary
c. Federal
d. Intergovernmental
3.1
3.1 Which organizing system does
the government in the United States
use?
a. Confederate
b. Unitary
c. Federal
d. Intergovernmental
3.1
Essential Question:
Explain the constitutional basis for the division of
power between national and state governments
(focus on national supremacy and states’
obligations to each other)
Constitutional Basis of
Federalism
 Division of Power
 National Supremacy
 States’ Obligations to Each Other
3.2
Division of Power
 States retained many powers
 Organize local governments and elections
 Ratify Constitutional amendments
 Equal representation in Senate
3.2
Some Powers Denied States by the
Constitution
3.2
Division of Power
3.2
Federal obligations to states




Cannot divide states
Cannot tax interstate exports
Protect states against invasion
Overlapping responsibilities-such as establishing courts,
maintaining law and order, protecting citizens’ health and safety,
and regulating financial institutions. They can both levy taxes and
take private property by eminent domain.
National Supremacy
3.2
Which level should do what?
 Debates over areas of policy responsibility

Supremacy clause

Civil War-established national sovereignty over states

The Struggle for Racial Equality-forcing integration in schools and other
public accommodations, and ending legal discrimination in jobs, housing, and
voting over the strong objections of the states.

Tenth Amendment-“powers not delegated to the United States by the
Constitution, nor prohibited by it to the states, are reserved to the states
respectively, or to the people.”

Eleventh Amendment – A citizen of one state cannot sue another state
Wallace and segregation
3.2
In 1963, Alabama
Governor George
Wallace made a
dramatic stand at the
University of Alabama to
resist integration of the
all-white school. Federal
marshals won this
confrontation, and since
then the federal
government in general
has been able to impose
national standards of
equal opportunity on the
states.
National Supremacy
 Implied Powers



McCulloch v. Maryland (1819)
Enumerated powers
Elastic clause
3.2
National Supremacy
3.2
 Commerce power
Gibbons v. Ogden (1824)-Ogden defined commerce so broadly as
to encompass virtually any commercial activity.
After the Industrial Revolution when Congress sought to use its commerce
powers to regulate worker health and safety, the Court said that the
power to regulate interstate commerce did not extend so far. When
the Great Depression placed new demands on the national
government, the Court reluctantly allowed considerable expansion of
Congress’s regulatory power.
 Promote economic development
 Regulate economic activity
 Expansion then retraction (US v Lopez)

States’ Obligations to Each
Other

3.2
Full faith and credit
 Defense of Marriage Act (1996)
The Constitution requires that states give full faith and credit to the public acts,
records, and civil judicial proceedings of every other state. In practical terms,
this means that if you are married or divorced in one state, you are married or
divorced in all states. A moment’s reflection will make it clear that this clause
is essential to the functioning of the economy and society.
Because of the full faith and credit clause of the Constitution, marriage certificates
issued by one state are valid in every state. People are also entitled to most
of the benefits—and subject to most of the obligations—of citizenship in any
state they visit, thanks to the privileges and immunities clause. Gay marriage
is straining these principles, however, as most states refuse to recognize
marriages between same-sex partners.
When Hawaii legalized same-sex marriage, Congress passed the Defense of
Marriage Act, which allows states to make an exception to the full faith and
credit clause and not recognize same sex marriages performed in other
states. Is DOMA constitutional?
States’ Obligations to Each
Other
3.2
 Extradition-The Constitution requires states to
return a person charged with a crime in another
state to that state for trial or imprisonment
 Privileges and immunities-prevent
discrimination by states against visitors or new
residents coming from other states. But there are
many exceptions to this clause. State universities,
for example, can charge higher tuition to out-ofstate students.
3.2 Which clause of the Constitution
requires states to honor contracts
signed in other states?
a. Privileges and immunities
b. Full faith and credit
c. Necessary and proper
d. Commerce
3.2
3.2 Which clause of the Constitution
requires states to honor contracts
signed in other states?
a. Privileges and immunities
b. Full faith and credit
c. Necessary and proper
d. Commerce
3.2
Video: In Context
3.2
http://media.pearsoncmg.com/ph/hss/SSA_SHARED_MED
IA_1/polisci/presidency/Seg3_Federalism_v2.html
Essential Question:
Explain the shift from dual to cooperative federalism
and the role of fiscal federalism in intergovernmental
relations today.
Intergovernmental Relations
 From Dual to Cooperative Federalism
 Devolution?
 Fiscal Federalism
3.3
From Dual to Cooperative
Federalism
 Dual federalism
 Separate spheres of authority
 Layer cake
 Cooperative federalism
 Shared costs
 Federal guidelines
3.3
Interstate highways
3.3
Cooperative federalism began during the Great Depression of the 1930s and continues
into the twenty-first century. The federal government provides much of the funding for
interstate highways, for example, but also attaches requirements that states must
meet.
From Dual to Cooperative
Federalism
 Cooperative federalism in action
 Schools
 Highways and State Alcohol laws
3.3
Devolution?
(transferring responsibility from the
federal government to local and state governments)
3.3
 Party divide on federalism
 Democrats favor national government
 Republicans favor states
 Devolution since Reagan
 Loosening federal regulations
 Harnessing federal government power
After decades of new federal policies by the Democrats, the Republican
party gained control of the White House in 1980. They attempted to
devolve some federal power back to the states by cutting funds for
domestic federal programs. Then, in 1994 the Republicans gained control
of Congress and repealed many federal laws, giving states more latitude
to set their own policies.
Fiscal Federalism (federal grants-in-aid)
 The Grant System
 Categorical grants
 Specific purpose w/ strings attached
 Crossover sanctions-withhold funds unless states
change their policy in some area to conform with federal
government goals
 Crosscutting requirements-occur when a condition on one
federal grant is extended to all activities supported by
federal funds, regardless of their source. For example, if a
university discriminates illegally in one programs, such as
athletics, it may lose the federal aid it receives for all its
programs.
 Project grants-the most common and are awarded on the
basis of competitive applications
 Formula grants-are distributed based upon the number of
recipients, income, or some other criterion.
3.3
Fiscal Federalism
 Block grants-much less restrictive and
generally only specify the policy area in
which they are to be used, such as
education or health care.
 Scramble for federal dollars-“bring home
the bacon”
 Mandate blues-Requirements that direct
states to provide additional services as a
condition of a federal grant
3.3
FIGURE 3.1: Fiscal federalism: Federal
grants to state and local governments
3.3
No Child Left Behind Act
3.3
Unfunded Mandate!
Policies of the federal government may have
major impacts on core policies of state and local
governments, like elementary and secondary
education, and determine how much is spent on
these policies. Under the No child Left Behind
Act, schools are threatened with the loss of
federal funds if schools don’t improve, but has
not made available extra funding to help
schools make these improvements.
Essential Question:
Explain the consequences of Federalism for
diversity in public polices among the states.
Diversity in Policy
3.4
 Diversity in public opinion reflected-death
penalty
 Policy innovation facilitatedlaboratory/guinea pig
 Diversity has its
downside-It may also discourage states
from providing some services so that, for example, poor people do not
move to states with higher welfare benefits. It also means that
residents of states that choose to spend less on certain services may
lag behind residents of other states in, for example, quality of
education.
3.4 Which of the following is a result
of federalism?
a. Diversity of policies in states
b. States can be policy innovators
c. States can spend less on education
d. All of the above
3.4
3.4 Which of the following is a result
of federalism?
a. Diversity of policies in states
b. States can be policy innovators
c. States can spend less on education
d. All of the above
3.4
Essential Question:
Explain the impact of federalism on
the democratic process and the scope
of government
Understanding Federalism
3.5
 Federalism and Democracy
 Federalism and the Scope of the National
Government
FIGURE 3.2: State and local spending on
public education
3.5
Can we say there is equal opportunity in the U.S. when the
quality of education varies so much between states?
Federalism and Democracy
3.5
 Contributions to democracy-avoid tyranny
of the majority
 Decentralizes politics- elect representatives to promote those
interests at both the state and federal level.
 Disputes resolved at lower levels of govt.-burden on the
federal government is reduced
 Majorities can be heard at state level
 More opportunities for participation
 Losing elections less painful
 Detriments to democracy
 Electoral College
Number of governments in America
3.5
Federalism and the Scope of
the National Government
3.5
 Why national government grew
 Economic intervention
 Industrialization
 Quotas-on foreign imports of automobiles and steel to protect U.S. industries
from competition
 Subsidies-faltering industries, such as airlines and railroads
 Preventing monopolies
 Occupational health and safety
 Urbanization
 Housing
 Social welfare
In many of these policy areas, legislation at the state level would have been ineffective. Louisiana could
not pass pollution legislation that prevents states upstream from polluting the Mississippi River before it
flows down through its borders. Indiana could not forbid imports of foreign steel. As more policy areas
come under the federal government, the scope of national government increases, but the states continue
to legislate as they have always done.
FIGURE 3.3: Fiscal Federalism: The size of
the public sector
3.5
3.5 Federalism has contributed to
democracy in all of the following
ways except:
a. The Electoral College
b. More opportunities for participation
c. Disputes resolved at lower levels
d. More points of access
3.5
3.5 Federalism has contributed to
democracy in all of the following
ways except:
a. The Electoral College
b. More opportunities for participation
c. Disputes resolved at lower levels
d. More points of access
3.5
https://www.youtube.com/watch
?v=J0gosGXSgsI&index=4&list
=PL8dPuuaLjXtOfse2ncvffeelTr
qvhrz8H