Chap3

Chapter 3Chapter 3
FederalismFederalism

Copyright © 2013 CengageCopyright © 2013 Cengage
 WHO GOVERNS?WHO GOVERNS?
1. Where is sovereignty located in the1. Where is sovereignty located in the
American political system?American political system?
2. How is power divided between the2. How is power divided between the
national government and the statesnational government and the states
under the constitution?under the constitution?
 TO WHAT ENDS?TO WHAT ENDS?
1. What competing values are at stake in1. What competing values are at stake in
federalism?federalism?
2. Who should decide which matters2. Who should decide which matters
ought to be governed mainly or solelyought to be governed mainly or solely
by national laws?by national laws?

Why Federalism MattersWhy Federalism Matters
 Federalism is a system in which theFederalism is a system in which the
national government shares powernational government shares power
with state/local governments.with state/local governments.
 State governments have theState governments have the
authority to make final decisions overauthority to make final decisions over
many governmental actions.many governmental actions.
 The most persistent source ofThe most persistent source of
political conflict is between nationalpolitical conflict is between national
and state governments.and state governments.

A man holds his card showing he is covered for a pre-existing
medical condition. This program was part of the Affordable Care
Act of 2010 ("Obamacare").
HEALTH/RISKPOOL REUTERS/Richard Carson

Figure 3.1 Lines of Power in the Federal System ofFigure 3.1 Lines of Power in the Federal System of
GovernmentGovernment

Figure 3.1 Lines of Power in the Federal SystemFigure 3.1 Lines of Power in the Federal System
of Governmentof Government

The FoundingThe Founding
 A Bold New Plan: A “federal republic”A Bold New Plan: A “federal republic”
for which there was no precedentfor which there was no precedent
 Elastic LanguageElastic Language
Congress shall have the power to “make allCongress shall have the power to “make all
laws which shall be necessary and proper forlaws which shall be necessary and proper for
carrying into execution the foregoing powerscarrying into execution the foregoing powers.”.”
-from Article I-from Article I

Benjamin Franklin, Thomas Jefferson, Livingston Adams, and
Roger Sherman writing the Declaration of Independence.
North Wind Picture Archives/Alamy

The Debate on the Meaning ofThe Debate on the Meaning of
FederalismFederalism
 The Supreme CourtThe Supreme Court
Speaks (Chief Justice John MarshallSpeaks (Chief Justice John Marshall
was an advocate of Federalism)was an advocate of Federalism)
1819 - McCulloch v Maryland1819 - McCulloch v Maryland
• referenced “necessary and proper”referenced “necessary and proper”
powers of Congresspowers of Congress
• confirmed “Supremacy” of the federalconfirmed “Supremacy” of the federal
(national) government(national) government

1313
The Debate on the Meaning of
Federalism
 Nullification - theory advanced by
James Madison and Thomas
Jefferson suggesting that states had
the right to declare federal law “null
and void” (nullify) if they felt it
violated the Constitution
• newspaper
• slavery
1313

1414
The Debate on the Meaning of
Federalism
 dual federalism - a constitutional
theory that the national government
and the state governments each
have define areas of authority,
especially over commerce
• interstate v. intrastate
 state sovereignty - ultimate
authority rests with the states in
matters not enumerated in the
Constitution (police power - health,
safety, moral)
1414

Governmental StructureGovernmental Structure
 Federalism: Good or Bad?Federalism: Good or Bad?
 Increased Political ActivityIncreased Political Activity
 What the States can doWhat the States can do
• Initiative - voters submit aInitiative - voters submit a
law to popular votelaw to popular vote
• Referendum - submitting anReferendum - submitting an
existing law to popular voteexisting law to popular vote
• Recall - voters can vote toRecall - voters can vote to
remove an elected officialremove an elected official
from officefrom office
Federalism has permitted
experimentation. Women were able
to vote in the Wyoming Territory in
1888, long before they could do so
in most states.
The Granger Collection, New York

Federal-State RelationsFederal-State Relations
 Grants-In-Aid: funds provided toGrants-In-Aid: funds provided to
states and localities (airport, roads)states and localities (airport, roads)
 Meeting National NeedsMeeting National Needs
 Intergovernmental LobbyIntergovernmental Lobby
 Categorical Grants: funds for specificCategorical Grants: funds for specific
purpose defined by law (requirepurpose defined by law (require
some state matching)some state matching)
 Rivalry Among the StatesRivalry Among the States
Some of the nation’s
greatest universities,
such as Penn State, began
as land-grant colleges.

Federal Grants to State andFederal Grants to State and
Local Governments (2009)Local Governments (2009)
Source: Budget of the U.S. Government, Fiscal Year 2011, Historical Tables, Table 12.2.

An airline passenger stands inside a device that
searches electronically for any contraband.
Ethan Miller/Getty Images News/Getty Images

Figure 3.2 The Changing Purpose of
Federal Grants to State and Local
Governments

Then-Governor Mitt Romney inspecting a roof
that collapsed in “the Big Dig”—the tunnel under
downtown Boston.
AP Images

Federal Aid and Federal ControlFederal Aid and Federal Control
 Mandates: rules imposed by theMandates: rules imposed by the
federal government as a condition forfederal government as a condition for
obtaining a federal grant (civil rightsobtaining a federal grant (civil rights
oriented - required)oriented - required)
 Conditions of Aid: federal rulesConditions of Aid: federal rules
attached to grants states receiveattached to grants states receive
(voluntary)(voluntary)
A National Guardsman watches over the U.S.-Mexico border in
Arizona. The Guardsmen cannot make arrests but can call the
Border Patrol.

A Devolution Revolution?A Devolution Revolution?
 Devolution shifts many federalDevolution shifts many federal
functions to the states.functions to the states.
• second-order = states to localsecond-order = states to local
• third-order = local to nonprofitthird-order = local to nonprofit
 Most Americans favor devolution, butMost Americans favor devolution, but
not if that means cuts in governmentnot if that means cuts in government
programs that benefit most citizens.programs that benefit most citizens.
 What have been the consequences ofWhat have been the consequences of
devolution?devolution? Copyright © 2013 CengageCopyright © 2013 Cengage

A Devolution Revolution?A Devolution Revolution?
 By 2011, many states have lostBy 2011, many states have lost
budget surpluses and face debts.budget surpluses and face debts.
 This leads states to consider whichThis leads states to consider which
responsibilities are theirs and whichresponsibilities are theirs and which
belong to the federal government.belong to the federal government.
 How will states address their long-How will states address their long-
term debts?term debts?

Congress and FederalismCongress and Federalism
WHY IS THERE SO MUCH POLITICALWHY IS THERE SO MUCH POLITICAL
AND POLICY DIVERSITY IN THEAND POLICY DIVERSITY IN THE
UNITED STATES?UNITED STATES?
 State and local governments have retainedState and local governments have retained
certain constitutional protections.certain constitutional protections.
 Members of Congress think of themselvesMembers of Congress think of themselves
as representatives of localitiesas representatives of localities toto
Washington, not as representativesWashington, not as representatives ofof
Washington to the localities.Washington to the localities.

MEMORANDUMMEMORANDUM
To:To: Secretary of Education Julie DewSecretary of Education Julie Dew
From:From: White House special assistant Jack PatrickWhite House special assistant Jack Patrick
Subject:Subject: National curriculum for elementary and secondary schoolsNational curriculum for elementary and secondary schools
As promised in her campaign platform, the president would likeAs promised in her campaign platform, the president would like
to expand upon the No Child Left Behind Act to develop ato expand upon the No Child Left Behind Act to develop a
national curriculum for all elementary and secondary-schoolnational curriculum for all elementary and secondary-school
children, beginning with high school, to better preparechildren, beginning with high school, to better prepare
students for the twenty-first century work force. The majorstudents for the twenty-first century work force. The major
arguments for and against this proposal follow; will you presentarguments for and against this proposal follow; will you present
the initiative and address states’ concerns at the Nationalthe initiative and address states’ concerns at the National
Governors Association next week?Governors Association next week?
WHAT WOULD YOU DO?WHAT WOULD YOU DO?

Arguments for:Arguments for:
1. American jobs in the twenty-first century will require1. American jobs in the twenty-first century will require
advanced skills in literacy, mathematics and informationadvanced skills in literacy, mathematics and information
technology that all schools must teach.technology that all schools must teach.
2. Variations in state curriculum standards leave students ill-2. Variations in state curriculum standards leave students ill-
prepared for college which increasingly is a necessaryprepared for college which increasingly is a necessary
credential for long-term employment.credential for long-term employment.
3. If the national government does not invest in creating a3. If the national government does not invest in creating a
uniform school curriculum now, then increased funding willuniform school curriculum now, then increased funding will
be needed for remedial instruction later.be needed for remedial instruction later.

Arguments against:Arguments against:
1. States are better able to determine educational standards1. States are better able to determine educational standards
that will prepare their diverse populations for the workthat will prepare their diverse populations for the work
force than the federal government.force than the federal government.
2. Imposing a national curriculum will stifle state and local2. Imposing a national curriculum will stifle state and local
creativity in education and will be so basic that it will makecreativity in education and will be so basic that it will make
little difference in college preparation.little difference in college preparation.
3. The national government has a history of imposing3. The national government has a history of imposing
educational mandates on states with insufficient fundingeducational mandates on states with insufficient funding
and governors are skeptical of receiving sufficient fundingand governors are skeptical of receiving sufficient funding
to successfully implement a national curriculum forto successfully implement a national curriculum for
students with varying needs.students with varying needs.

Your decision:Your decision:
Support bill?Support bill?
Oppose bill?Oppose bill?

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