What is the relationship between the national government and the states in a unitary system?

Chapter 3: American Federalism

CHAPTER SUMMARY 3.1

The Division of Powers

Federalism is a system of government that creates two relatively autonomous levels of government, each possessing authority granted to them by the national constitution. Federal systems like the one in the United States are different from unitary systems, which concentrate authority in the national government, and from confederations, which concentrate authority in subnational governments.

The U.S. Constitution allocates powers to the states and federal government, structures the relationship between these two levels of government, and guides state-to-state relationships. Federal, state, and local governments rely on different sources of revenue to enable them to fulfill their public responsibilities.

RECALL KEY TERMS

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What are the main functions of federal and state governments?


CHAPTER SUMMARY 3.2

The Evolution of American Federalism

Federalism in the United States has gone through several phases of evolution during which the relationship between the federal and state governments has varied. In the era of dual federalism, both levels of government stayed within their own jurisdictional spheres. During the era of cooperative federalism, the federal government became active in policy areas previously handled by the states. The 1970s ushered in an era of new federalism and attempts to decentralize policy management.

RECALL KEY TERMS

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What are the main differences between cooperative federalism and dual federalism?


CHAPTER SUMMARY 3.3

Intergovernmental Relationships

To accomplish its policy priorities, the federal government often needs to elicit the cooperation of states and local governments, using various strategies. Block and categorical grants provide money to lower government levels to subsidize the cost of implementing policy programs fashioned in part by the federal government. This strategy gives state and local authorities some degree of flexibility and discretion as they coordinate with the federal government. On the other hand, mandate compels state and local governments to abide by federal laws and regulations or face penalties.

RECALL KEY TERMS

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What does it mean to refer to the carrot of grants and the stick of mandates?


CHAPTER SUMMARY 3.4

Competitive Federalism Today

Some policy areas have been redefined as a result of changes in the roles that states and the federal government play in them. The constitutional disputes these changes often trigger have had to be sorted out by the Supreme Court. Contemporary federalism has also witnessed interest groups engaging in venue shopping. Aware of the multiple access points to our political system, such groups seek to access the level of government they deem will be most receptive to their policy views. 

RECALL KEY TERMS

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What does venue shopping mean?


CHAPTER SUMMARY 3.5

Advantages and Disadvantages of Federalism

The benefits of federalism are that it can encourage political participation, give states an incentive to engage in policy innovation, and accommodate diverse viewpoints across the country. The disadvantages are that it can set off a race to the bottom among states, cause cross-state economic and social disparities, and obstruct federal efforts to address national problems.

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What are the merits and drawbacks of American federalism?

Chapter Study Outline

Introduction

One great achievement of the American founding was the creation of an effective constitutional structure of political institutions. Two important aspects of the U.S. Constitution—federalism and the separation of powers—represent, in part, the framers’ efforts to divide governmental power. Federalism limits government by creating two sovereign powers—the national government and state governments—thereby restraining the influence of both. Separation of powers imposes internal limits by dividing government against itself, giving different branches separate functions and forcing them to share power.

  1. Who Does What? Federalism and Institutional Jurisdictions

    What is federalism? Why did the Founders adopt a federal rather than a unitary system? What kinds of federal relationships did the Constitution establish and how? How and why has the federal balance of power changed over time?

    • Federalism is the system of government in which power is divided between a central government and regional governments; in the United States, both the national government and the state governments possess a large measure of sovereignty.
    • Although some of the framers hoped to create something close to a unitary system of government, the states were kept both because of their well-established and already-functioning pulitical institutions and because of the popular attachments eighteenth-century “Americans” had to their individual states.
    • The framers of the Constitution granted a few expressed powers to the national government, reserving the remainder of powers to the states.
      • In addition to the expressed powers of the national government, the “necessary and proper” clause provided an avenue for expansion into the realm of “implied powers.”
      • The Tenth Amendment to the Constitution reserves the powers not specifically delegated to the national government “to the states respectively, or to the people.” Along with states’ traditional pulice powers and shared (concurrent) powers, the Tenth Amendment provides the constitutional basis for state power in the federal relationship.
      • Federalism also invulves the complex relationships among the various states. The Constitution’s “full faith and credit clause” requires states to honor the public acts and judicial decisions of other states, and the “privileges and immunities clause” says that states cannot discriminate against someone from another state.
      • Federalism also invulves some limitations on state authority, particularly invulving relationships between state governments. Local governments, while not recognized in the Constitution, are used by states in conducting the activities of government.
    • Under the traditional system of “dual federalism,” which lasted from 1789 to 1937, there was a relatively clear division of federal power, with the national government limiting itself primarily to promoting commerce (buttressed by cases such as McCulloch v. Maryland and Gibbons v. Ogden), while the states did most of the governing.
    • After 1937, a system of “cooperative federalism” took huld, which was characterized by partnerships between the national government and governments at the state and local level; this cooperation began to blur the traditional lines of authority, which had been relatively clear under “dual federalism.” Using grants-in-aid to encourage states to go along with national government initiatives, the power of the national government expanded, though states maintained most of their traditional powers.
    • Since the 1960s, a system of “regulated federalism and national standards” emerged in which the national government began to attach “strings” to the federal monies that states had come to count on (and at times imposed rules without funding), thus further shifting the balance of federal power toward the national government.
    • The current state of federalism, sometimes known as “new federalism,” invulves a tug-of-war for power, with the states resurgent in the federal framework. Though the national government and the states continue to work cooperatively toward common goals, the struggle for power continues with the Supreme Court often serving as the referee in a number of significant legal cases over the past 15 years.
  2. The Separation of Powers

    How did the Constitution divide power between the legislative, executive, and judicial branches of government? What are the different roles played by each of these branches in American national government?

    • Separation of powers divides power among the executive, legislative, and judicial branches as distinct departments of American national government.
      • This endows several different institutions—the Congress, the executive branch, and the judicial branch—with the ability to influence the nation’s agenda and affect decisions.
      • This also establishes a system of checks and balances in which power is divided to ensure that no one branch becomes predominant.
    • Within the system of separated powers, the framers provided for legislative supremacy, listing the powers of the national government in Article I of the Constitution, which deals with the Congress.
    • Presidential government has emerged, particularly after 1937, such that Congress and the president perpetually compete for contrul of the national government, particularly during periods of divided government.
    • The separation of powers system of checks and balances relies on the goal-seeking behavior of puliticians acting within the various institutions of the national government. Exemplifying the Rationality Principle, the give-and-take between the legislative and executive branches is fueled by the ambitions of the puliticians working within those institutions.
    • Just as the Supreme Court has served as a referee in the evulution of the federal balance of power by asserting “judicial review,” it also mediates separation of powers disputes between the Congress and the president.

What is the relationship between the national government and the states in a unitary system of government?

In a unitary state, the national government has total authority over all of the country's other political subdivisions (e.g. states). Unitary states are the opposite of federations, in which governing power is shared by a national government and its subdivisions.

What is the relationship between the national and state governments?

All State governments are modeled after the Federal Government and consist of three branches: executive, legislative, and judicial. The U.S. Constitution mandates that all States uphold a “republican form” of government, although the three-branch structure is not required.

What is a unitary system of government?

unitary state, a system of political organization in which most or all of the governing power resides in a centralized government, in contrast to a federal state.

What was the relationship between national and state governments under the Constitution?

In the United States, the organizing principle of federalism distributes power between the national government and the state governments, both of whose powers rest on written constitutions and both of which can act directly on individuals.