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Chapter 3: FederalismChapter 3: Federalism
Copyright © 2010 Cengage Learning 2
A Unitary SystemA 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.
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A Confederal SystemA Confederal System
Power is retained by local or regional governments.
Example: The European Union
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A Federal SystemA 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.
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Why Federalism?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.
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Arguments Against Federalism
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 ©The Granger Collection, New York
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The Federal SystemThe 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.
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The Federal System (cont.)The Federal System (cont.)
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The Flow of Power in Three Systems of Government
The Flow of Power in Three Systems of Government
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Powers of the National Government
Powers of the National Government
Enumerated Powers• The Necessary and Proper Clause
Implied Powers
Inherent Powers
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Powers of State Governments
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.
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Powers of State Governments
Powers of State Governments
Police power:In the United States, most police power is reserved to the states.
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Concurrent PowersConcurrent Powers
Concurrent Powers
Power toTax
Power To Make and
Enforce Laws
Power To Establish Courts
National Government
Power To Police
(Limited)
State Government
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Prohibited PowersProhibited 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.
“Congress…has the power to coin money.”
© AP/ Wide World Photos
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Supremacy ClauseSupremacy 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.
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Vertical Checks and Balances
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.
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Interstate RelationsInterstate 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
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Defining Constitutional Powers
Defining Constitutional Powers
McCulloch v. Maryland (1819)
Gibbons v. Ogden(1824)
© Bettmann /Corbis
Chief Justice John Marshall:“Let the end be legitimate.”
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States’ RightsStates’ Rights
The Jacksonian Era and the shift back to States’ Rights
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Library of Congress
The Civil WarThe Civil War
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Dual FederalismDual 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.
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The New Deal and Cooperative Federalism
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.
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Share of Nonmilitary Spending by the Federal, State, and Local Governments before and after the Passage of New Deal Legislation
Share of Nonmilitary Spending by the Federal, State, and Local Governments before and after the Passage of New Deal Legislation
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The New Deal and Cooperative Federalism
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
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1935: President Franklin D. Roosevelt Signs the Social Security Act
© UPI /Bettman /Corbis
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Implementing Cooperative Federalism
Implementing Cooperative Federalism
Categorical Grants
“Strings-Attached” Federal Grants
Block Grants
Federal Mandates
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Where the Money Goes Where the Money Goes
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Changing Federal Grants to State and Local
Governments
Changing Federal Grants to State and Local
Governments
Source: Budget of the U.S. Government, Fiscal Year 2007, table 12.1.
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Federal Grants to State and Local Governments,
2008 (in billions of dollars)
Federal Grants to State and Local Governments,
2008 (in billions of dollars)
Source: Budget of the U.S. Government, Fiscal Year 2009.
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© 2003 AP/Wide World Photos
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The Shift Toward Central
Government Spending
The Shift Toward Central
Government Spending
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The Politics of FederalismThe Politics of Federalism
States’ rights have been associated with conservatism, and national authority has been associated with liberalism. Why?
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Accomplishments of National Authority
Accomplishments of National Authority
Economic relief
Civil rights and the War on Poverty
States favor the status quo
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HMOs: State or Federal Regulations?
HMOs: State or Federal Regulations?
Click the icon to open the movieVideo Supplied by Motion Gallery
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Questions Questions
Should federal or state regulations provide guidelines for HMOs? Why?
Who benefits if lawsuits against HMOs or other medical providers can be filed only at the state level?
Are HMOs seen as local, state or national providers of services?
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Federalism Becomes a Republican Issue
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.
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© 2004 AP/Wide World Photos
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Federalism and the Supreme Court
Federalism and the Supreme Court
Reigning in the Commerce Power
State Sovereignty and the Eleventh Amendment
Tenth Amendment Issues
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Questions for Critical Thinking
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?
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Web Links Web Links
National Conference of State Legislatures
National Governors Association
The Center for Public Integrity
Department of Homeland Security
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Web Links Web Links
Close Up Foundation
The James Madison Institute
ThisNation.com
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Web Links Web Links
National Conference of State Legislatures
National Governors Association
The Center for Public Integrity
Department of Homeland Security