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Copyright © 2014 Cengage Learning
FEDERALISM
Chapter Three
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Learning Outcomes
1. Define federalism and contrast the federal system of government with the unitary and confederal systems in explaining where governmental power lies.
2. Identify two advantages and two disadvantages of the U.S. federal system.
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Learning Outcomes
3. Locate the sources of federalism in the U.S. Constitution; using the terms “vertical control” and “horizontal control,” explain how the founders intended federalism and separation of powers to limit the expansion of national power
4. Explain the historical evolution of federalism as a result of the Marshall Court, the Civil War, the New Deal, civil rights, and federal grant-making.
5. Evaluate immigration policy as a challenge to modern federalism.
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Three Systems of Government
Unitary system Central government gives power to subnational
governments Local governments typically have only powers
granted by central government, rather than any reserved powers
Majority of countries today
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Three Systems of Government
Confederal system Power retained by local/regional governments
League of independent states Central government cannot make laws unless
members support these Examples:
Switzerland United States (under Articles of Confederation)
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Three Systems of Government
Federal system Divides power between national and lower level
governments Written constitution Each government has distinct powers that other
governments cannot override Examples:
Australia, Brazil, Canada, Germany, India, Mexico United States
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The Flow of Power in Three Systems of Government
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Governmental Units in the United States8
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Why Federalism?
A practical constitutional solution Framers wanted to combine strong central
government with state traditions and local power Large geographical size of country Brings government closer to the people Benefit: state governments as testing grounds Allows for many political subcultures
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Why Federalism?
Arguments against federalism Way for powerful states to block plans Inequalities across states Some see expansion of national powers as
danger Limited rights for minority groups
James Madison, Federalist Paper No. 10
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The Constitutional Basis for American Federalism
Federal system Authority divided Written constitution Central government + constituent governments
Constitution specifies three types of power1. Powers of national government
2. Powers of the states
3. Prohibited powers
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The Constitutional Basis for American Federalism
Powers of the national government Enumerated Powers
Specifically granted by Constitution Coining money, standardized weights and measures,
admitting new states, postal services, declaring war Power to regulate commerce
Implied Powers Necessary and Proper Clause
Inherent Powers (all sovereign nations)
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The Constitutional Basis for American Federalism
Powers of the state governments Tenth Amendment
Reserved powers Regulate commerce within borders, state militia, laws
governing crime, marriage, contracts, education Police power All powers not delegated to national government
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The Constitutional Basis for American Federalism
Concurrent powers Not specified in Constitution Taxation Borrow funds Establish courts Charter banks and corporations Police power (to a degree)
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The Constitutional Basis for American Federalism
Prohibited powers Any power not granted expressly or implicitly by
Constitution is prohibited to federal government States also denied certain powers
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The Constitutional Basis for American Federalism
Supremacy Clause (Article VI, Clause 2) National government actions are supreme Conflicts between national and state government
will be resolved in favor of national government McCulloch v. Maryland
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The Constitutional Basis for American Federalism
Vertical checks and balances Goal to prevent national government from
becoming too powerful Each branch checks others Vertical checks are between state and national
government
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The Constitutional Basis for American Federalism
Interstate Relations Article IV attempts to resolve potential problems
between states 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–The Early Years
McCulloch v. Maryland (1819) Marshall: “[W]e must never forget it is a
constitution we are expounding.” Implied powers and national supremacy
Gibbons v. Ogden (1824) Commerce clause Commerce power of national government could
be exercised in state jurisdictions Regulating commerce is a national power
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States’ Rights and the Resort to Civil War
The shift back to states’ rights Jacksonian era (1829-1837) Regulation of commerce major issue Tariffs generally benefitted northern industries
South Carolina withdraws from Union (1860) Six states form Confederate States of America (1861)
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President Lincoln Meets With Generals and Troops
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States’ Rights and the Resort to Civil War
War and the growth of the national government The war effort (billion dollar budget, income tax) Civil War Amendments expand national
government authority 13th: Abolishment of slavery 14th: Defined who was a U.S. citizen 15th: Attempted to provide rights to freed slaves,
including right to vote
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Voting for the First Time23
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The Continuing Dispute Over the Division of Power
Dual federalism and the retreat of national authority “Layer cake” federalism A return to normal conditions (for some) Role of the Supreme Court
Defends state’s rights Limits national government power
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The Continuing Dispute Over the Division of Power
The New Deal and cooperative federalism End of dual federalism Expanded role for
national government Cooperation between
national government and states
“Marble cake” federalism
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The Continuing Dispute Over the Division of Power
Methods of implementing cooperative federalism Categorical grants
Formula grants Program grants
Block grants Federal mandates
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The Politics of Federalism
Federal system not always most effective Hurricane Katrina
What has national authority accomplished? Economic relief
New Deal and Social Security Civil rights and war on poverty Child labor laws
Why should states favor the status quo?
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The Politics of Federalism
Federalism becomes a partisan issue The New Federalism:
Republicans and devolution Conversion of categorical grants to block grants Revenue sharing
Federalism in 21st Century Important to conservative ideology But some liberal policy innovations at state level
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Federalism and the Supreme Court Today
Reigning in the commerce power United States v. Lopez United States v. Morrison Affordable Healthcare Act
State sovereignty and the Eleventh Amendment Tenth Amendment issues
New York v. United States Printz v. United States
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Federalism and the Supreme Court Today
Other federalism cases Mixed messages by Supreme Court on medical
marijuana and death with dignity laws Immigration policy: state or federal issue?
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Status of Arizona-inspired Legislation Passed in 2011
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State’s Rights32