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<!DOCTYPE html>
<html lang="en"><head>
<meta charset="utf-8"/>
<meta content="text/html;charset=utf-8" http-equiv="Content-Type"/>
<title>Federalism</title>
<link href="http://www.cnlawrence.com/" rel="author"/>
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</head>
<body>
<div class="reveal">
<!-- Any section element inside of this container is displayed as a slide -->
<div class="slides">
<section class="vcard">
<h1>Federalism</h1>
<h3><a class="url n" href="http://www.cnlawrence.com/" rel="author">
<span class="honorific-prefix">Dr.</span>
<span class="given-name">Christopher</span>
<abbr class="additional-name">N.</abbr>
<span class="family-name">Lawrence</span></a></h3>
<h4 class="org">Middle Georgia State University</h4>
<h4>POLS 1101: American Government</h4>
<h5><a id="narrationToggle" onclick="toggleAutoplay(this);return false;"
href="#">🔊 Disable Narration</a></h5>
</section>
<!-- XXX Actual slides go here -->
<section>
<h2>Sovereignty</h2>
<audio controls="" data-autoplay="" data-timepoints="13,17" preload="metadata">
<source src="audio/federalism/federalism-01.opus" type="audio/ogg; codecs=opus"></source>
<source src="audio/federalism/federalism-01.mp3" type="audio/mpeg"></source>
</audio>
<ul>
<li><p>Systems of government are defined in terms
of <i>sovereignty</i>:</p>
<ul>
<li class="fragment"><p>Fundamental governmental authority.</p></li>
<li class="fragment"><p>The right to govern a particular people or
territory.</p></li>
</ul>
</li>
</ul>
</section>
<section>
<h2>Unitary States</h2>
<audio controls="" data-autoplay="" data-timepoints="11,23" preload="metadata">
<source src="audio/federalism/federalism-02.opus" type="audio/ogg; codecs=opus"></source>
<source src="audio/federalism/federalism-02.mp3" type="audio/mpeg"></source>
</audio>
<ul>
<li><p>In a <b>unitary state</b> (or system) only
the <i>national</i> government is sovereign.</p>
<img alt="Diagram showing power flowing from central government to
constituent units." src="img/federalism/UnitaryState.svgz" style="float: right; width: 35%; background-color: white"/></li>
<li class="fragment"><p>Country may be divided into provinces,
counties, etc. but they are only <i>administrative</i>
subdivisions.</p></li>
<li class="fragment"><p>Examples include:</p>
<ul>
<li><p>France</p></li>
<li><p>Israel</p></li>
<li><p>Japan</p></li>
<li><p>New Zealand</p></li>
</ul>
</li>
</ul>
</section>
<section>
<h2>Confederations</h2>
<audio controls="" data-autoplay="" data-timepoints="13,26" preload="metadata">
<source src="audio/federalism/federalism-03.opus" type="audio/ogg; codecs=opus"></source>
<source src="audio/federalism/federalism-03.mp3" type="audio/mpeg"></source>
</audio>
<ul>
<li><p>A <b>confederation</b> (or <i>confederal system</i>) is a
government formed by sovereign states working together
for common purposes.</p>
<img alt="Diagram showing power flowing from
constituent units to central government." src="img/federalism/Confederation.svgz" style="float: right; width: 35%; background-color: white"/>
</li>
<li class="fragment"><p>Central government's powers are limited to
those granted by the states.</p></li>
<!--
<li class=fragment><p>Confederations tend not to last very long; there
are no countries today that people agree are
confederations.</p></li>
-->
<li class="fragment"><p>Examples include:</p>
<ul>
<li><p>U.S. under the Articles of Confederation.</p></li>
<li><p>Switzerland (until 1848).</p></li>
<li><p>The European Union (to an extent…)</p></li>
</ul>
</li>
</ul>
</section>
<section>
<h2>Federal States</h2>
<audio controls="" data-autoplay="" data-timepoints="9,26.5" preload="metadata">
<source src="audio/federalism/federalism-04.opus" type="audio/ogg; codecs=opus"></source>
<source src="audio/federalism/federalism-04.mp3" type="audio/mpeg"></source>
</audio>
<ul>
<li><p>A <b>federal state</b> (or federation) <i>shares</i>
sovereignty between the national and subnational governments.</p>
<img alt="Diagram showing power shared between states and central government." src="img/federalism/Federalism.svgz" style="float: right; width: 35%; background-color: white"/></li>
<li class="fragment"><p>The nation and its units (states, provinces,
etc.) may have both overlapping and non-overlapping areas of
responsibility.</p></li>
<li class="fragment"><p>Examples include:</p>
<ul>
<li>The United States (since 1789)</li>
<li>Brazil</li>
<li>Canada</li>
<li>Germany</li>
</ul>
</li>
</ul>
</section>
<section>
<h2>Federalism in the United States</h2>
<audio controls="" data-autoplay="" data-timepoints="19,29" preload="metadata">
<source src="audio/federalism/federalism-05.opus" type="audio/ogg; codecs=opus"></source>
<source src="audio/federalism/federalism-05.mp3" type="audio/mpeg"></source>
</audio>
<ul>
<li><p>Many <i>national powers</i> (sometimes called <i>delegated
powers</i>), including some of the <b>enumerated powers</b> of
Congress.</p></li>
<li class="fragment"><p><b>Concurrent powers</b> are shared between
the state and federal governments.</p></li>
<li class="fragment"><p><b>Reserved powers</b> are powers executed
by the states alone; however, other powers are <i>denied</i>
to the states.</p></li>
</ul>
</section>
<section>
<h2>National (Delegated) Powers</h2>
<audio controls data-autoplay data-timepoints="6,11,14,18,28" preload="metadata">
<source src="audio/federalism/federalism-05a.opus" type="audio/ogg; codecs=opus"></source>
<source src="audio/federalism/federalism-05a.mp3" type="audio/mpeg"></source>
</audio>
<p>Powers that can be exercised <i>solely</i> by the national
government:
<ul>
<img style="width: 30%; float: right"
src="img/federalism/Capitol_dome.jpg"
title="U.S. Capitol dome. Public domain."
alt="Picture of the U.S. Capitol dome.">
<li class=fragment><p>Conduct foreign relations, including issuing
declarations of war.</p></li>
<li class=fragment><p>Coin money and issue paper currency.</p></li>
<li class=fragment><p>Regulate <i>interstate commerce</i>.</p></li>
<li class=fragment><p>Regulate foreign commerce, including
imposing <i>tariffs</i> and <i>trade sanctions</i>.</p></li>
<li class=fragment><p>Provide for national defense.</p></li>
</ul></p>
</section>
<section>
<h2>Concurrent (Shared) Powers</h2>
<audio controls data-autoplay data-timepoints="9,13,16,19,22" preload="metadata">
<source src="audio/federalism/federalism-05c.opus" type="audio/ogg; codecs=opus"></source>
<source src="audio/federalism/federalism-05c.mp3" type="audio/mpeg"></source>
</audio>
<p>Powers that can be exercised by <i>both</i> state and national
governments:</p>
<ul>
<li class=fragment><p>Levy taxes; spend and borrow money.</p></li>
<li class=fragment><p>Establish courts.</p></li>
<li class=fragment><p>Charter corporations and banks.</p></li>
<li class=fragment><p>Make and enforce laws.</p></li>
<li class=fragment><p><i>Eminent domain</i>: take private property
for public use, subject to compensation.</p></li>
</ul>
</section>
<section>
<h2>Reserved Powers of the States</h2>
<audio controls="" data-autoplay="" data-timepoints="7,13,17,23,28" preload="metadata">
<source src="audio/federalism/federalism-05b.opus" type="audio/ogg; codecs=opus"></source>
<source src="audio/federalism/federalism-05b.mp3" type="audio/mpeg"></source>
</audio>
<p>Powers that only the states may exercise:</p>
<ul>
<img style="width: 30%; float: right"
src="img/federalism/321px-Georgia-state-capitol-dome.jpg"
title="Georgia state capitol dome. Image copyright (C) CC-BY-SA Connor Carey."
alt="Picture of the Georgia State Capitol's dome.">
<li class=fragment><p>Regulate time, place, and manner of elections.</p></li>
<li class=fragment><p>Regulate <i>intrastate commerce</i>
(commerce <i>within</i> the state).</p></li>
<li class=fragment><p>Organize <i>political subdivisions</i> like
counties, cities, and school districts.</p></li>
<li class=fragment><p>Exercise <b>police power</b> over public
health, safety, welfare, and morality.</p></li>
<li class=fragment><p>Ratify amendments to the
U.S. Constitution.</p></li>
</ul>
</section>
<section>
<h2>Major Limitations on State Power</h2>
<audio controls="" data-autoplay="" data-timepoints="6,11,16,19,24" preload="metadata">
<source src="audio/federalism/federalism-05d.opus" type="audio/ogg; codecs=opus"></source>
<source src="audio/federalism/federalism-05d.mp3" type="audio/mpeg"></source>
</audio>
<p>States may not…</p>
<ul>
<li class=fragment><p>issue currency, coin money, or declare
anything other than gold or silver <i>legal tender</i>.</p></li>
<li class=fragment><p>levy tariffs on imports or exports without
Congress' approval.</p></li>
<li class=fragment><p>enter into treaties or
alliances with other countries.</p></li>
<li class=fragment><p>enter into agreements with other states (known
as <b>interstate compacts</b>) without Congress'
consent.</p></li>
<li class=fragment><p>pass <i>bills of attainder</i>, <i>ex post
facto</i> laws, or abridge contracts.</p></li>
</ul>
</section>
<section>
<h2>Obligations of the States</h2>
<audio controls="" data-autoplay="" data-timepoints="8,51,69" preload="metadata">
<source src="audio/federalism/federalism-05e.opus" type="audio/ogg; codecs=opus"></source>
<source src="audio/federalism/federalism-05e.mp3" type="audio/mpeg"></source>
</audio>
<p>States also have certain obligations to the other states, subject
to exceptions:</p>
<ul>
<li><p class=fragment>Must give <b>full faith and credit</b> to the
<i>public acts</i> of other states, such as court decisions and
legal contracts. (However, note the <b>public policy
exception</b>.)</p></li>
<li><p class=fragment>Must respect the <b>equal privileges and
immunities</b> of citizens of other states; cannot
discriminate against non-residents.</p></li>
<li><p class=fragment><b>Extradition</b> of those suspected or
convicted of crimes back to the state where they are wanted.</p></li>
</ul>
</section>
<section>
<h2>Federalism and the Courts</h2>
<audio controls="" data-autoplay="" data-timepoints="16,47,68,90" preload="metadata">
<source src="audio/federalism/federalism-06.opus" type="audio/ogg; codecs=opus"></source>
<source src="audio/federalism/federalism-06.mp3" type="audio/mpeg"></source>
</audio>
<ul>
<li class="fragment"><p>Supreme Court decided it had authority to
mediate issues of dual sovereignty in <i>McCulloch v. Maryland</i>
(1819):</p>
<ul>
<li class="fragment"><p><i>Necessary and Proper Clause</i>
(or <i>Elastic Clause</i>): gives Congress authority to “make
all laws which shall be necessary and proper to carrying into
execution” the enumerated powers: additional powers known
as <i>implied powers</i>.</p></li>
<li class="fragment"><p><i>Supremacy Clause</i>: federal constitution
and laws “supreme law of the land.”</p></li>
</ul></li>
<li class="fragment"><p>Combined effect: Congress could go well beyond
its enumerated powers, and states had to defer to expansion of
federal power.</p></li>
</ul>
</section>
<section>
<h2>The Commerce Power</h2>
<audio controls="" data-autoplay="" data-timepoints="18,47,96" preload="metadata">
<source src="audio/federalism/federalism-07.opus" type="audio/ogg; codecs=opus"></source>
<source src="audio/federalism/federalism-07.mp3" type="audio/mpeg"></source>
</audio>
<ul>
<li><p>Congress can “regulate commerce… among the several
states.”</p></li>
<li class="fragment"><p>Applied to state efforts to control trade
between states in <i>Gibbons v. Ogden</i> (1824).</p></li>
<li class="fragment"><p>During the New Deal era, Supreme Court
allowed Congress to regulate almost any action that might
affect the national economy: <i>NLRB v. Jones & Laughlin
Steel</i> (1937); <i>Wickard v. Filburn</i> (1942).</p></li>
<li class="fragment"><p>More recent example: medical marijuana case
(<i>Gonzales v. Raich</i>, 2005).</p></li>
</ul>
</section>
<section>
<h2>The Spending Power</h2>
<audio controls="" data-autoplay="" data-timepoints="8,23,58,62" preload="metadata">
<source src="audio/federalism/federalism-08.opus" type="audio/ogg; codecs=opus"></source>
<source src="audio/federalism/federalism-08.mp3" type="audio/mpeg"></source>
</audio>
<ul>
<li><p>Congress has the power to spend money providing for the
“general welfare.”</p></li>
<li class="fragment"><p>When Congress gives money to states and
local governments, it often requires states to do things in
return.</p></li>
<li class="fragment">
<img alt="Don't drink and drive sign." src="img/federalism/no-dui.jpg" style="float: right; width: 30%; border: none"/>
<p>Examples:</p>
<ul>
<li><p>Raising the drinking age to 21 (<i>South Dakota
v. Dole</i>, 1987)</p></li>
<li class="fragment"><p>Seatbelt laws</p></li>
<li class="fragment"><p>Motorcycle helmet laws</p></li>
</ul>
</li>
</ul>
</section>
<section>
<h2>Limits on Federal Power?</h2>
<audio controls="" data-autoplay="" data-timepoints="6,17" preload="metadata">
<source src="audio/federalism/federalism-09.opus" type="audio/ogg; codecs=opus"></source>
<source src="audio/federalism/federalism-09.mp3" type="audio/mpeg"></source>
</audio>
<ul>
<li><p>The Supreme Court has occasionally said the federal
government has gone too far:</p>
<ul>
<li class="fragment"><p>In the 1990s, the Supreme Court struck down
parts of several laws on federalism grounds.</p></li>
<!-- U.S. v. Morrison; Mack and Printz v. U.S.; and U.S. v. Lopez -->
<li class="fragment"><p>In 2012, the Court somewhat
limited the spending power in <i>National Federation of
Independent Business v. Sebelius</i> (PPACA case): states
could not lose <b>all</b> federal funds for existing Medicaid
recipients if they refused to expand the program.</p></li>
</ul></li>
</ul>
</section>
<section>
<h2>State Power and Nullification</h2>
<audio controls="" data-autoplay="" data-timepoints="9,10,22" preload="metadata">
<source src="audio/federalism/federalism-10.opus" type="audio/ogg; codecs=opus"></source>
<source src="audio/federalism/federalism-10.mp3" type="audio/mpeg"></source>
</audio>
<!-- XXX revise audio -->
<ul>
<li><p>Two constitutional amendments designed to protect state
governments' authority:</p>
<ul>
<li class="fragment"><p>Tenth Amendment (states and the people
retain powers not delegated to the federal government).</p></li>
<li class="fragment"><p>Eleventh Amendment (<i>sovereign
immunity</i>).</p></li>
</ul>
</li>
<li class="fragment"><p>After <i>McCulloch</i>, some states argued
in favor of the <b>nullification doctrine</b>: that states could
refuse to follow federal laws they believed were
unconstitutional.</p></li>
<li class=fragment><p>Reflects older <i>compact theory</i> of
federal–state relations.</p></li>
<!--
<li class=fragment><p>Revived during the Civil Rights
struggle: <b>interposition</b>.</p></li>
-->
</ul>
</section>
<section>
<h2>Dual and Cooperative Federalism</h2>
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<ul>
<li><p>Traditionally, relationship between state and national
governments was understood as <i>dual federalism</i>: each
government did its own thing, with little overlap in
responsibilities.</p></li>
<li class="fragment"><p>The expansion of national government power
during FDR's presidency produced a new
arrangement: <i>cooperative federalism</i> (sometimes
called <i>marble cake federalism</i>).</p></li>
<li class="fragment"><p>Rather than two separate “spheres” of
power—the dual federalism model—powers of the state and national
governments overlap. Reflects the <i>nationalist theory</i> of
federal-state relations.</p></li>
</ul>
</section>
<section>
<h2>Cooperative Federalism in Practice</h2>
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<ul>
<li><p>Political scientists who defined the term believed there
would be genuine cooperation between state and national
governments to design effective programs.</p></li>
<li class="fragment"><p>Instead, however, many of the new national
programs gave states major administrative responsibilities but
little input.</p></li>
</ul>
</section>
<section>
<h2>Using the Spending Power</h2>
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<ul>
<li><p>Congress has several options for getting the states to do things
it is unable or unwilling for the federal government to do:</p>
<ul>
<li class="fragment"><p><b>Categorical grant</b> programs.</p></li>
<li class="fragment"><p><b>Block grant</b> programs.</p></li>
<li class="fragment"><p>Using <b>unfunded mandates</b>.</p></li>
</ul>
</li></ul>
</section>
<section>
<h2>Categorical Grants</h2>
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<ul>
<li><p>Federal grants to a state or local government that include
specific rules and regulations for the use of funds.</p>
</li><li class="fragment"><p>Examples:</p>
<ul>
<li><p>SNAP (“Food Stamps”).</p></li>
<li class="fragment"><p>Head Start.</p></li>
<li class="fragment"><p>Medicaid.</p></li>
<li class="fragment"><p>No Child Left Behind.</p></li>
</ul>
</li>
</ul>
</section>
<section>
<h2>Devolution and Block Grants</h2>
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<ul>
<li><p>States and some national politicians (former governors like
Nixon, Carter, and Reagan) pushed for returning more powers to
the states: <i>devolution</i>.</p></li>
<li class="fragment"><p><b>Block grants:</b> federal grants with fewer
“strings” attached.</p></li>
<li class="fragment"><p>Examples:</p>
<ul>
<li><p>“Community Development Block Grants”</p></li>
<li class="fragment"><p>Temporary Assistance to Needy Families
(TANF).</p></li>
</ul>
</li>
</ul>
</section>
<section>
<h2>Unfunded Mandates</h2>
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<ul>
<li><p>Congress requires states to do things without providing the
needed funding.</p>
<ul>
<li class="fragment"><p><b>No Child Left Behind</b>: required states to
increase testing of students, but didn't pay to develop the
needed tests.</p></li>
<li class="fragment">
<img alt="REAL ID compliant driver's license from Georgia (example)." src="img/federalism/RealID.jpg" style="float: right; width: 30%"/>
<p><b>REAL ID Act</b>: required states to make
driver's licenses/state IDs more secure, but states had to spend
millions changing issuing processes.</p></li>
</ul></li>
</ul>
</section>
<section>
<h2>Is Devolution Dead?</h2>
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<ul>
<li><p>Although states are “laboratories of democracy,” and
national politicians often use rhetoric supporting devolution,
they remain reluctant to give up control.</p></li>
<li class="fragment"><p>Politicians often are responding to public
demands to “do something” about problems, even
when state and local governments may be better equipped to
solve them.</p></li>
</ul>
</section>
<section class="endmatter">
<h2>Copyright and License</h2>
<ul>
<li><p>The text and narration of these slides are an original,
creative work, Copyright © 2000–15 Christopher N. Lawrence. You may
freely use, modify, and redistribute this slideshow under the terms
of the Creative Commons Attribution-Share Alike 4.0 International
license. To view a copy of this license,
visit <a href="http://creativecommons.org/licenses/by-sa/4.0/"
rel="license">http://creativecommons.org/licenses/by-sa/4.0/</a> or
send a letter to Creative Commons, 444 Castro Street, Suite 900,
Mountain View, California, 94041, USA.</p></li>
<li><p>Other elements of these slides are either in the public domain
(either originally or due to lapse in copyright), are
U.S. government works not subject to copyright, or were licensed
under the Creative Commons Attribution-Share Alike license (or a
less restrictive license, the Creative Commons Attribution license)
by their original creator.</p></li>
</ul>
</section>
<section class="endmatter"><h2>Works Consulted</h2>
<p>The following sources were consulted or used in the production of
one or more of these slideshows, in addition to various primary
source materials generally cited in-place or otherwise obvious from
context throughout; previous editions of these works may have also
been used. Any errors or omissions remain the sole responsibility
of the author.</p>
<ul>
<li>Barbour, Christine and Gerald C. Wright. 2012. <i>Keeping the
Republic: Power and Citizenship in American Politics</i>, Brief
4th Edition. Washington: CQ Press.</li>
<li>Coleman, John J., Kenneth M. Goldstein, and William
G. Howell. 2012. <i>Cause and Consequence in American Politics.</i>
New York: Longman Pearson.</li>
<li>Fiorina, Morris P., Paul E. Peterson, Bertram D. Johnson, and
William G. Mayer. 2011. <i>America's New Democracy</i>, 6th
Edition. New York: Longman Pearson.</li>
<li>O'Connor, Karen, Larry J. Sabato, and Alixandra
B. Yanus. 2013. <i>American Government: Roots and Reform</i>, 12th
Edition. New York: Pearson.</li>
<li>Sidlow, Edward I. and Beth Henschen. 2013. <i>GOVT</i>, 4th
Edition. New York: Cengage Learning.</li>
<li><a href="http://www.electionstudies.org/">The American National
Election Studies</a>.</li>
<li>Various Wikimedia projects, including
the <a href="http://commons.wikimedia.org/">Wikimedia
Commons</a>, <a href="http://en.wikipedia.org/">Wikipedia</a>,
and <a href="http://en.wikisource.org/">Wikisource</a>.</li>
</ul>
</section>
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