2. Chapter 3: American Federalism
Defining Federalism
Constitutional Structure of American Federalism
National Courts and Federalism
National Budget as a Tool of Federalism
Politics of Federalism

3. Chapter Outline and Learning Objective
Defining Federalism
LO 3.1 Interpret the definitions of federalism, and assess the advantages and disadvantages of the American system of federalism.
The Constitutional Structure of American Federalism
LO 3.2 Differentiate the powers the Constitution provides to national and state governments.

4. Chapter Outline and Learning Objective
The National Courts and Federalism
LO 3.3 Assess the role of the national courts in defining the relationship between the national and state governments and evaluate the positions of decentralists and centralists.
The National Budget as a Tool of Federalism
LO 3.4 Analyze the budget as a tool of federalism, and evaluate its impact on state and local governments. 4

5. Chapter Outline and Learning Objective
LO 3.1
Chapter Outline and Learning Objective
The Politics of Federalism
LO 3.5 Evaluate the current relationship between the national and state governments and the future challenges for federalism.
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6. LO 3.1
Defining Federalism LO 3.1 Interpret the definitions of federalism, and assess the advantages and disadvantages of the American system of federalism.
Federalism is a constitutional arrangement in which power is distributed between a central government and subdivisional governments, called states in the United States. Both units exercise direct authority over individuals.
This relationship is explained by political scientists further:
Dual federalism is the idea of each level of government being dominant within its own sphere.
Cooperative federalism is the idea that there are intergovernmental relationships in delivering governmental goods and services to the people and calls for cooperation among various levels.
Marble cake federalism conceives of federalism as a mixed set of responsibilities in which all levels are engaged in a variety of issues and programs.
Competitive federalism views all the governing units as competing with each other over ways to put together packages of services and taxes.
Permissive federalism argues that although there is a sharing of power and authority between units, the states’ share rests on the permission of the national government.
New federalism presumes that the states have broader power.
Federalism
Dual federalism
Cooperative federalism
Marble cake federalism
Competitive federalism
Permissive federalism
New federalism
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7. Defining Federalism Alternatives to Federalism Unitary system
LO 3.1
Defining Federalism
Federalism is not the only type of governing system. There two major alternatives to federalism.
Unitary systems are constitutional arrangements that concentrates power in a central government.
Confederations are constitutional arrangements in which sovereign nations or states, by compact, create a central government but carefully limit its power and do not give it direct authority over individuals.
It is important for students to note that government exists to provide services – and the ways that governments are formed affect the provision of those services. Use the feature, Global Opinion on the Role of Government (p.80) to flesh out how different governing units work. Compare the United States to other nations and their expectations of services.
Alternatives to Federalism
Unitary system
Confederation
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8. Defining Federalism Why Federalism? Advantages
LO 3.1
Defining Federalism
In 1787, federalism was a compromise between centrists who supported a strong national government and those who favored decentralization. Confederation was unsuccessful and unitary was impossible given the attachment to state governments.
Federalism has some advantages. First, U.S. citizens tend to connect federalism to freedom because any level can challenge any other level. Second, the nation is very diverse but federalism allows there to be differences on policy while also having the nation in common. Third, experimentation is possible in a federal system because states become laboratories of democracy. Fourth, leaders can cut their teeth on how to run governments at a lower level before they enter the national conversation. Finally, the number of levels allows citizens to be involved in their government as thousands of U.S. adults serve.
Federalism has some disadvantages. First, dividing power means that national problems are not responded to quickly – Katrina, 9/11 are examples of this problem. Second, citizens have a hard time holding elected officials accountable because it is hard to see who is responsible when things go well or go badly. Third, there is conflict across state lines. Finally, the more variation in policies there is, the more inefficient the system works.
Why Federalism?
Advantages
Checks the growth of tyranny
Allows unity without conformity
Encourages experimentation
Provides training and develops leaders
Keeps government closer to the people
Disadvantages
Difficult to respond quickly to national problems
Difficult to hold elected officials accountable
Lack of uniformity leads to conflict
Variation in policies creates redundancies and inefficiencies
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9. LO 3.1 Back to learning objectives
Using this chart, students can see how many governing units there are in this nation. Use this to discuss whether all these levels and numbers of governments help to prevent tyranny – this can be connected to how separation of powers is more than just between branches at the national level.
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Copyright © 2011 Pearson Education, Inc. Publishing as Longman

10. LO 3.2
The Constitutional Structure of American Federalism LO 3.2 Differentiate the powers the Constitution provides to national and state governments.
The division of powers and responsibilities between the national and state governments has resulted in thousands of court decisions and books explaining them – the division lacks precise definition. The constitutional framework, however, is relatively simple.
Powers of national government are delegated to it.
National government is supreme.
State governments have reserved powers.
Both levels of government are denied some powers.
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11. The Constitutional Structure of American Federalism
LO 3.2
The Constitutional Structure of American Federalism
The Constitution explicitly gives legislative, executive, and judicial powers to the national government – these are known as delegated powers. In addition, the national government has assumed implied powers stemming from the necessary and proper clause. For example, creating a national bank. Those powers specifically written down are also known as express powers.
In foreign affairs, the national government has inherent powers – the Supreme Court has declared these do not depend on constitutional grants but grow out of the very existence of the national government.
Powers of the National Government
Delegated
Implied – necessary and proper clause
Inherent
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12. The Constitutional Structure of American Federalism
LO 3.2
The Constitutional Structure of American Federalism
Article VI is very clear that the Constitution of the United States overrides all other governments – states must abide. “This Constitution, and the Laws of the United States which shall be made in Pursuance thereof; and all Treaties made … under the Authority of the United States, shall be the supreme Law of the Land.”
The national government is responsible for protecting the nation – this entails making war, as well as using technology to make successful war.
The commerce clause gives Congress the power to regulate all business activities that cross state lines or affect more than one state or other nations.
Congress can raise taxes and spend money for the purpose of promoting the general welfare. They grant money which then has stipulations attached – states then comply with federal guidelines to get the money. These are known as federal mandates.
Other National Powers
The National Supremacy Article
The War Power
The Power to Regulate Commerce
The Power to Tax and Spend
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13. The Constitutional Structure of American Federalism
LO 3.2
The Constitutional Structure of American Federalism
The 10th Amendment of the Constitution reserves for the states all powers not granted to the national government. Thus, any powers that are not exclusively given to the national or government the states can exercise as long as they do not conflict with national law.
Some powers are shared by both levels – taxing, law enforcement, etc. – and these are known as concurrent powers.
Powers of the State
Reserve
Concurrent
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14. The Constitutional Structure of American Federalism
LO 3.2
The Constitutional Structure of American Federalism
The Constitution also imposes restraints on both levels of government. These restraints lead to major disagreements as to who is allowed to do what.
Limited Powers
States
Making treaties
Interfering with commerce of other nations
Coining money
Taxing imports or exports
Taxing foreign ships
Keeping troops in time of peace
Engaging in war
National
Refrain from exercising its powers in such a way as to interfere substantially with the states’ abilities to perform their responsibilities
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15. The Constitutional Structure of American Federalism
LO 3.2
The Constitutional Structure of American Federalism
Three clauses in the Constitution require states to treat each other well.
Full faith and credit requires each state to recognize the civil judgments rendered by the courts of the other states and to accept their public records as valid.
Interstate privileges and immunities means that states must give citizens of other states the same treatment they give their own citizens.
Extradition means that a person who has fled one state will be turned over to the state from which he or she is fleeing.
Interstate compacts are the agreements between states to settle disputes – the Congress usually approves of these compacts.
Interstate Relationships
Full Faith and Credit
Interstate Privileges and Immunities
Extradition
Interstate Compacts
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16. LO 3.2 Back to learning objectives
This chart lays out the division between the nation and the state – what they are allowed to do. Note that this is a major battle today – states are asserting their rights. Thus, this is a very exciting piece of federal government.
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Copyright © 2011 Pearson Education, Inc. Publishing as Longman

17. LO 3.3
The National Courts and Federalism LO 3.3 Assess the role of the national courts in defining the relationship between the national and state governments and evaluate the positions of decentralists and centralists.
In 1819, the Supreme Court had the first of many chances to define the division of power. The Court ruled that a state cannot tax an instrument of the national government. Marshall found that there are implied powers that the national government can exercise. This ruling went a long way toward developing nationalism and unifying the national economy.
The Supreme Court has played a major role in the relationship between the states and the national government. From 1937 to the 1990s, the Courts had stepped back from protecting states from the federal government, but in the last 15 years, the Court has signaled it will intervene.
Mostly, it is important for students to note that the battles surrounding the creation of the country in the 18th century are not over.
McCulloch v. Maryland
National Courts and the Relationship with the States
The Supreme Court and the Role of Congress
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18. The National Courts and Federalism
LO 3.3
The National Courts and Federalism
From the beginning of the Republic, there has been a debate about the proper distribution of powers, functions, and responsibilities—the two sides have literally fought over this debate—Civil War.
Centralists are people who favor national action over action at the state and local levels.
Decentralists favor state or local action rather than national action.
The Great Debate
Centralists
Abraham Lincoln, FDR
Reject the idea that the Constitution is an interstate compact
National government is the government of all the people
Decentralists
Antifederalists, Thomas Jefferson, Ronald Reagan
Constitution is a compact among sovereign states
National government should not interfere with activities of the states
Devolution revolution, states’ rights
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19. LO 3.4
The National Budget as a Tool of Federalism LO 3.4 Analyze the budget as a tool of federalism, and evaluate its impact on state and local governments.
The national budget uses federal grants to get states to apply—Congress has deeper pockets than most wealthy states. These grants serve four purposes—the fourth of which is the most important.
Supply state and local governments with revenue
Establish minimum national standards
Equalize resources among the states
Attack national problems while minimizing the growth of federal agencies
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Copyright © 2011 Pearson Education, Inc. Publishing as Longman

20. The National Budget as a Tool of Federalism
Categorical-formula grants are those that are for a specific purpose (homeland security)—distributed to states based on population requiring states to pay for some of it, usually on a matching basis. These grants are tightly monitored.
Project grants are those that the national government support a specific activity (highway construction) —restricted to a fixed amount of time and can only be spent within tight guidelines.
Block grants are those that have fewer strings and less federal supervision—money comes down to states and the states use it as they see fit.
The national government is being the harshest to states when it uses unfunded mandates—the national government requires states to do things without providing money. The Unfunded Mandates Reform Act was passed in 1995 which required Congress to evaluate the impact of said mandates. This has resulted in restraining their use—since 1995, only 11 unfunded mandates have been used.
Types of Federal Grants
Three types of grants used
Categorical-formula
Project
Block
The Politics of Federal Grants
Unfunded Mandates
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21. LO 3.5
The Politics of Federalism LO 3.5 Evaluate the current relationship between the national and state governments and the future challenges for federalism.
The feature You Will Decide (p. 96) in the book focuses on No Child Left Behind—which is a great point to demonstrate how the national and state governments intersect. Education policy is a very controversial policy area for the national government to be involved in.
Over the past 200 years, the national government has grown. First, our problems have become more national in scope rather than local. Second, our economy’s growth means more demands on the national government. It altered transportation and communications—needing more national government. Once created, it is hard to uncreate as political groups get attached to the policies. Recently, however, Congress is under pressure to downsize national programs.
The future of federalism is interesting—this is perhaps the most politically interesting area to discuss. People want a smaller federal government but they also want both levels to work together to face whatever challenges are coming down the pike. It is hard for local governments to combat terrorism, so we expect them to work with the national government toward that end, for example.
Growth of the National Government
Future of Federalism
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22. The ___ type of government has power vested in a central authority.
LO 3.1
The ___ type of government has power vested in a central authority.
Unitary
Federal
Confederate
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23. The ___ type of government has power vested in a central authority.
LO 3.1
The ___ type of government has power vested in a central authority.
Unitary
Federal
Confederate
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24. State-only powers are known as ____.
LO 3.2
State-only powers are known as ____.
Concurrent
Reserved
Extradition
Supremacy
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25. State-only powers are known as ____.
LO 3.2
State-only powers are known as ____.
Concurrent
Reserved
Extradition
Supremacy
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26. Who of the following would have been a decentralist?
Abraham Lincoln
Franklin Delano Roosevelt
Ronald Reagan
All of the above
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27. Who of the following would have been a decentralist?
Abraham Lincoln
Franklin Delano Roosevelt
Ronald Reagan
All of the above
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28. LO 3.4
___ are used for very strict controls of what states are doing in a general purpose.
Categorical-formula grants
Project grants
Block grants
Unfunded mandates
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29. LO 3.4
___ are used for very strict controls of what states are doing in a general purpose.
Categorical-formula grants
Project grants
Block grants
Unfunded mandates
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30. What area makes it difficult to move away from central control?
LO 3.5
Education
Homeland security
Immigration
All of the above
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31. What area makes it difficult to move away from central control?
LO 3.5
What area makes it difficult to move away from central control?
The most obvious answer here is Homeland Security, as education should be local and immigration should be federal—but you can have a great conversation with students about these issues to explore the complexity of federalism.
Education
Homeland security
Immigration
All of the above
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32. LO 3.1
Text Credits
80: From “Obama More Popular Abroad Than at Home, Global Image of U.S. Continues to Benefit” July 2010, by Pew Global Attitudes Project. Copyright (c) 2010 by Pew Global Attitudes Project, a project of the Pew Research Center. Reprinted with permission.
83: From GETTING CURRENT: RECENT DEMOGRAPHIC TRENDS IN METROPOLITAN AMERICA by William H. Frey, Alan Berube, Audrey Singer and Jill H. Wilson. Copyright © 2010 by William H. Frey, Alan Berube, Audrey Singer and Jill H. Wilson. Reprinted by permission of The Brookings Institution.
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33. LO 3.1
Photo Credits
76: Tony Avelar/The Christian Science Monitor/Getty Images
79: Damian Dovarganes/AP Photo
82: Johnny Crawford/The Image Works
83: nagelstock/Alamy
85: Aaron D. Allmon II/U.S. Air Force via Getty Images
86: (top) Carl D. Walsh/Aurora
86: (bottom) Joe Raedle/Getty Images
88: Michael Smith/Newscom
90: Jonathan Nourok/Getty Images
91: Thomas Wright/ University of Florida/IFAS/AP Photo
92: Dream Pictures/Getty Images
94: Alex Wong/Getty Images
95: Ed Kashi/Corbis
96:Yael Swerdlow/AP Photo
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