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2. Explain the historical role of the states in the American constitutional
system as it relates to the national government.
3. Compare and contrast the legal, fiscal, and political relationships
among levels of government in the United States.
4. Explain why the national government and state and local governments
conflict or cooperate over matters of public policy.
Chapter Outline and Summary
I. Introduction
A. The principal characteristic of a federal
system is the sharing of power.
B. Federalism is a complex, adaptable system
of relationships in which states have begun to assume a more energetic
and vigorous role in domestic policy.
C. Common things such as drivers tests, marriage
licenses, tax returns, and public schooling, illustrate the crucial
role of state governments.
II. The Idea of Federalism
A. Federalism is a system of government in
which a national and state governments share power within the same
political system.
B. Both national and state governments have
jurisdiction over individuals in a federal system.
C. The federal system is a compromise between
a strong central government and a league of separate states.
III. Confederate, Unitary, and Federal Forms of Government
A. Introduction and Definitions
1. A confederation is a loose collection
of states in which principal power lies at the level of the individual
state rather than at the level of the central or national government.
a. Confederations are founded on the political
idea of diversity and local control, allowing states to pursue diverse
approaches to policy.
b. Historically, the United States under
the Articles of Confederation is an example of a confederation.
2. A unitary system of government is one
in which principal power within the political system lies at the
level of a national or central government rather than at the level
of a smaller unit.
a. Unitary structures rest on the value of
unity and assume that there is a national interest in meeting needs
and problems in a particular way.
b. The government of France and each of the
50 American states are unitary systems.
B. A Comparative Perspective on Federalism
1. Several diverse countries in the world
have federal constitutional systems.
2. Common to all federal systems is the attempt
to pull together disparate groups (based on culture, language, geography,
or religion) while acknowledging their separate identities.
3. The relative power of the central government
and constituent groups varies among federal systems.
4. Some of the worlds great political conflicts
stem from the struggle to define the balance between national purposes
and group needs in a federal system. French-speaking Quebec in Canada
and the former Soviet republics are two examples.
IV. States in the Constitutional System
A. The 50 American states are integral parts
of our social and political consciousness and play a crucial role
in the American political system. For example, they administer
social welfare policies, amend the Constitution, and shape electoral
contests.
B. Express and Implied Powers
1. Express powers are specifically enumerated
as belonging to Congress and the president. Examples include the
power to regulate interstate commerce, coin money, and declare war.
2. Implied powers permit Congress to make
laws that are “necessary and proper” to execute the express
powers.
a. McCulloch v. Maryland (1819) first interpreted
the “necessary and proper” clause to allow implied powers
to the national government.
b. McCulloch also implied the principle of
national supremacy.
C. Reserved Powers: What Do the States Do?
1. According to the Tenth Amendment powers
not delegated to the United States, nor prohibited to the states,
are reserved to the states.
2. Among powers reserved for the states are “police” responsibilities
for the health, safety, and welfare of citizens, such as:
a. Responsibility for preventing and prosecuting
criminal activities.
b. Regulating a variety of matters having
to do with public safety, business, and commerce.
c. Providing for the universal education
of its citizens.
D. Local Government: A Political Landscape
of Contrasts
1. One of the reserved powers of the states
is control over the structure and powers of local governments.
a. Traditionally, state legislatures have
kept local governments on a tight rein.
b. In the late nineteenth century many local
governments were granted home rule, which is the power to determine
(within limits) their powers and functions.
2. The structure of local governments may
take the form of either mayor-councils, managers, or commissions.
3. Although local governments are primarily
concerned with the unglamorous services essential to civilized life,
occasionally their decisions cause a local crisis or controversy,
invoking intense citizen interest.
V. Government Relationships in the Federal System
A. Models of Federalism
1. Dual federalism posits the view that national
and state governments are separate and independent from each other,
with each level exercising its own powers in its own jurisdiction.
2. Marble cake federalism posits the view
that across a wide range of public policies, despite occasional conflict,
all levels of government are intertwined and work closely with one
another.
B. Legal Relationships
1. The Supreme Court has played a major role
in settling conflicts between different levels of government.
2. The Court has generally supported the
national government and national constitutional values in resolving
conflicts with the states, particularly in the following areas:
a. Regulation of interstate commerce.
b. Interpretation of the due process clause
of the Fourteenth Amendment.
c. Interpretation of the equal protection
clause of the Fourteenth Amendment.
C. Fiscal Relationships
1. A categorical grant-in-aid is a transfer
of cash from the national government to state or local governments
for some specific purpose.
2. A block grant is a transfer of cash from
the national to state and local governments for use in some broad
policy area allowing greater discretion in its use.
D. Political Relationships
1. Political relationships in the federal
system may derive from local or state officeholders as a group making
demands on the national government.
2. Many of the political relationships in
the federal system derive from differences among states and localities
as they compete with each other to press their individual interests.
Examples include:
a. The long history of slavery and discrimination
in the South.
b. Environmental policy.
c. Defense contracts.
E. Tensions in the Federal System
1. The national government has become more
dominant over the past two centuries.
2. The states have recently become public
policy innovators, particularly in the areas of education, welfare,
and the environment.
3. Although the states are doing more, the
national government has cut funds and increased the number of regulations
applying to state and local governments.
VI. Summary
Key Terms, Concepts, and Personalities
After studying Chapter 2 you should be able to identify and describe
the significance of:
Federalism
Confederation
unitary system
electoral college
delegated powers
express powers
implied powers
interstate compact
“
necessary and proper” clause
McCulloch v. Maryland (1819)
reserved powers
Tenth Amendment
home rule
mayor-council form
council-manager form
commission
dual federalism
marble cake federalism
regulation of interstate commerce
due process clause
equal protection clause
Sixteenth Amendment
categorical grant-in-aid
block grant
revenue sharing
Kentucky and Virginia Resolutions
New Federalism
TESTING YOUR UNDERSTANDING
Completion
1. Federalism is the product and symbol of the continuing ideological
struggle between the values of_______________ and __________________.
2. The 50 American states are themselves ___________________ governments
because the principal power within each state lies with the state
government.
3. ____________________ powers are specifically enumerated in the
Constitution as belonging to Congress.
4. The Supreme Court case of________________ v. ________________
interpreted the “necessary and proper” clause as allowing
expansive power to the national government.
5. The power to administer public education is an example of a _________________
power.
6. A model of federalism that views national and state governments
as separate and independent from each other is called _______________________.
7. The single most important characteristic of federalism in the
twentieth century has become cooperative ___________________ ___________________.
8. The most predominant form of national aid to the states takes
the form of ___________________.
Compare and Contrast
1. confederate, unitary, and federal forms of government
2. Concurrent, delegated, and reserved powers
3. express and implied powers
4. mayor-councils, managers, and commissions
5. dual federalism and marble cake federalism
6. due process clause and equal protection clause
7. categorical grant-in-aid and block grant
True-False
1. The federal system is a compromise between a strong central government
and a league of separate states. T F
2. A major fault of the Articles of Confederation was the absence
of a central foreign and military policy. T F
3. States act in some measure as administrative units to carry out
national social welfare programs. T F
4. McCulloch v. Maryland established the right of states to determine
what is “necessary and proper” to carry out public policies.
T F
5. Among the powers reserved for the states is the responsibility
for preventing and prosecuting criminal activities. T F
6. Studies have shown that citizen interest in the affairs of local
government is almost nonexistent. T F
7. Through a process of cooperative agreements, the states have
the power to regulate interstate commerce. T F
Multiple Choice
1. Federalism is the product and symbol of the continuing ideological
struggle between the values of
a. freedom and equality. c. justice and protection.
b. unity and diversity. d. individualism
and nationalism.
2. The government of France is a
a. confederate system. c. federal system.
b. unitary system. d. decentralized system.
3. In creating a federal system, the most important consideration
of the framers of the Constitution in the move to a national government
were
a. economic policy. c. military policy.
b. foreign policy. d. all of the above.
4. Federal systems are found in
a. Africa. c. North America.
b. South Asia. d. all of the above.
5. The example of Quebec province in Canada illustrates
a. political conflict in a federal system.
b. a federal system based on religion.
c. the disintegration of a federal system.
d. none of the above.
6. The states play a crucial role in all of the following activities
except
a. administering social welfare policies.
b. regulating interstate commerce.
c. amending the Constitution.
d. shaping electoral contests at the national
level.
7. The number of electoral votes for each state is equal to the
number of
a. counties in each state.
b. voting-age citizens in each state.
c. its members in the House of Representatives.
d. its members in the House and Senate combined.
8. The Supreme Court case of McCulloch v. Maryland confirmed the
national
governments
a. delegated powers. c. implied powers.
b. express powers. d. reserved powers.
9. The right of reserved powers was guaranteed in the
a. Tenth Amendment.
b. Eighteenth Amendment.
c. Twenty-first Amendment.
d. Supreme Court case of McCulloch v. Maryland.
10. According to the text, the most visible and pervasive role of
the state is in the
area of
a. interstate commerce. c. health.
b. education. d. business regulation.
11. Home rule
a. granted greater power to county governments.
b. established the system of general purpose
local governments.
c. created a surge in the number of local
governments.
d. gave local governments the power, within
limits, to determine their own powers and functions.
12. When local law enforcement authorities call on the FBI to help
them solve a crime, the kind of federalism illustrated is
a. dual federalism. c. marble cake federalism.
b. layer cake federalism. d. chocolate cake
federalism.
13. The ability of the national government to forbid sponsored prayers
in public schools stems from the Supreme Courts interpretation of
the
a. due process clause.
b. necessary and proper clause.
c. interstate commerce clause.
d. elastic clause.
14. Political conflicts between national and state and local governments
derive from
a. scarce resources.
b. the search for the balance between state
and national power.
c. the social and economic differences among
the states.
d. all of the above.
Essay
1. Explain the differences between confederate, unitary, and federal
forms of government. Illustrate the differences with examples.
2. Describe the various ways in which the states play a crucial
role in the American political system.
3. Answer the question posed in the text, “What do the states
do?” What policy areas are left primarily to the states?
4. In what ways is money “a kind of glue that binds the different
levels of government?” Describe the historical evolution of
fiscal relationships between the national and state and local governments.
5. What are the bases for political competition between the states?
Using examples, describe how this competition has created tension
in the federal system.
Research Topics and Practical Application
1. Make a list of all the governmental units that have direct jurisdiction
over your home town residence. Explain the ways in which you are
affected by each governmental unit. Describe any controversies that
have occurred between any of these governmental units in recent years.
You may have to consult a local library for information on these.
2. The flip side of state and local competition for economic investment
and development is the concept of NIMBY, or “not in my back
yard.” Investigate this phenomenon. Besides the storage of
nuclear waste, what other projects might states and localities resist?
Why might people not want a particular economic development project
located nearby? Find examples of this phenomenon and document them
according to the issues, individuals, and levels of government involved.
What was the outcome of the examples you examined?
ANSWER KEY
Completion
1. unity and diversity
2. unitary
3. Express
4. McCulloch v. Maryland
5. reserved
6. dual federalism
7. fiscal relationships
8. categorical grants-in-aid
True-False Multiple Choice
1. T 1. b
2. T 2. b
3. T 3. d
4. F 4. c
5. T 5. a
6. F 6. b
7. F 7. d
8. c
9. a
10. b
11. d
12. c
13. a
14. d
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