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Understanding Federalism: The Evolution, Powers, and Consequences

This chapter explores the concept of federalism in the United States, including the history, shared powers, and the balance of power between the national and state governments. It also examines the advantages and disadvantages of federalism and the consequences it has on policymaking and implementation.

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Understanding Federalism: The Evolution, Powers, and Consequences

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  1. Chapter 3 FEDERALISM: STATES AND NATION

  2. Welfare Reform and the States • Aid to Families with Dependent Children (AFDC) was established under the Social Act of 1935. • Designed as an entitlement program for children in poor, mostly female-headed, families • Administered by the states, a process that resulted in different levels of benefits from one state to another

  3. The welfare system began to change around the beginning of the 1990s. • The 1996 Personal Responsibility and Work Opportunity Act makes public welfare a state responsibility with federal financial support. • This interplay between national and state governments illustrates the dispersion of power in our federal system.

  4. Forms of Government • Federalism —significant government powers are divided between the central government and smaller governmental units • Confederation — constituent units or states retain ultimate authority and can veto major actions of the central government • Unitary — central government exercises all governmental powers and can change its constituent units

  5. Federalism as a System of Government • American federalism involves a multiplicity of governing levels and units. • Federalism is not a common way of organizing governments around the world. • There are no neat boundaries among different forms of government.

  6. The Roots of Federalism • Modern federalism is largely an American invention. • Most federal systems are found in countries that are large and diverse. • Unitary government is the most common form of government today.

  7. U.S. Federalism — Pro and Con • Federalism is one of the key structural characteristics of American government. • Advantages of federalism • Disadvantages of federalism

  8. The Constitution and Shared Powers • Power is expressly given to the states, as well as to the national government. • The states have important roles in shaping the national government and in choosing officials for the national government.

  9. How Federalism Is Depicted in the Constitution • Central role of the national government • Supremacy clause — the Constitution, laws, and treaties of the United States shall be the “supreme law of the land” • Enumerated powers — national powers that are specifically listed in the Constitution

  10. Independent state powers • Reserved powers of the states — the powers not delegated to the United States by the Constitution, nor prohibited by it to the states, are “reserved to the states respectively, or to the people” (Tenth Amendment — the “reservation clause”) • The reservation clause is unique to the United States. • The states’ roles in national government

  11. Relations among the states — established in Article IV of the Constitution • Full faith and credit — states must recognize the public acts, records, and judicial proceedings of every other state • Privileges and immunities of citizens — states must grant the same legal rights to citizens of other states that it grants to its own citizens

  12. The Evolution of Federalism • Federalism as we know it emerged slowly. • Early conflicts between the states and the nation • The role of the Supreme Court • The slavery issue

  13. Expansion of National Power • Crucial effects of the Civil War • Expanded national activity since the Civil War • Reaction of the Supreme Court

  14. Metaphors for Contrasting Views of Federalism • Layer cake federalism • Old, simple metaphor • Often used as a metaphor for dual federalism • A system of federalism in which state and national powers are seen as distinct and separate from each other

  15. Marble cake federalism • Often used as a metaphor for cooperative federalism • A more accurate metaphor for today’s federalism • Elements of national and state influence swirl around each other, without clear boundaries.

  16. The Rise of National Grants-in-Aid to the States • Grants-in-aid are federal funds allocated to states and local governments. • Origin and growth of grants • Types of grants • Categorical grants • Block grants • General Revenue Sharing • The slowdown in national money

  17. The Balance of Power and Control • Many contemporary facets of federalism involve questions of control. • Mandates — require the states to carry out certain policies, even when little or no national government aid is involved • Conditions on aid — require states to spend grant money in certain ways if they want to receive federal funding • Resurgence of the states in the American federal system

  18. Consequences of the Federal System • A high degree of complexity in policymaking and policy implementation • Permits diversity of responses to different situations • Allows experimentation at state and local levels • Entails substantial inequality • Difficult or impossible to carry out certain kinds of policies at state or local levels

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