Third Edition
CQ PressInstructors' ResourcesChaptersCh. 1 Logic of American PoliticsCh. 2 The ConstitutionCh. 3 FederalismCh. 4 Civil RightsCh. 5 Civil LibertiesCh. 6 CongressCh. 7 The PresidencyCh. 8 The BureaucracyCh. 9 The JudiciaryCh. 10 Public OpinionCh. 11 Voting, Campaigns and ElectionsCh. 12 Political PartiesCh. 13 Interest GroupsCh. 14 The News MediaAbout the BookAbout the Authors The Logic of American Politics by Samuel Kernell and Gary C. Jacobson

Chapter Three: Federalism

Study

Chapter Summary
The Framers of the Constitution faced difficult choices in determining the relative powers of the national and state governments. The final document's federal system represented a compromise between those advocating a vigorous central government and those preferring strong rights for states.

However, the last century has witnessed a large change in the roles and relative power of the states and the national government. This process of nationalization has not been haphazard, nor has it been inevitable. Nationalization was a logical political response by the states themselves to collective action problems such as free riding, cutthroat competition, and coordination problems. Nationalization has also allowed some political interests to pursue their agendas more efficiently than they could through state governments.

The national government has increasingly become the dominant partner in government. Institutional checks built into the Constitution to safeguard state prerogatives have proven irrelevant (the Tenth Amendment) or been altered (the Senate) as politicians responded incrementally to national policy needs. In addition, the presence of extraordinarily large governing majorities under Democratic presidents Franklin Roosevelt and Lyndon Johnson helped dramatically expand the role of the national government. The national government has built up an array of carrots and sticks to influence or, in some cases, dictate policies at the state level. These tools have been used with increasing frequency over time.

Objectives

After reading this chapter, you should understand…

  • the difference between unitary, confederal, and federal forms of government, and where one might find each type
  • the powers delegated by the Constitution to the national and state governments (and the lack of powers granted to local governments)
  • the difference between dual and shared forms of federalism
  • the logic of nationalization as illustrated by the road-building game
  • the main ways in which policies become nationalized
  • the three types of collective action problems faced by states
  • why pursuing policies at the national level might be more efficient for groups than pursuing it at the state level
  • why foes of abortion rights have recently emphasized state-level legislation in pursuing their goals, and how successful they have been in their efforts
  • whether the states "created" the national government
  • the various ways in which the national government influences state policy in modern federalism
  • the different forms of grants and mandates used by the national government in its relations with states, and why strategic politicians might prefer specific types over others
  • why mandates are such an attractive policy option for national politicians

Review Questions

  • What are the main differences between unitary, confederal, and federal governments? Which type of government is most common?


  • Most of the Framers felt that the Constitution adequately protected the states against encroachment by the national government. If this was the case, how did proponents of nationalization succeed in expanding the power of the national government?


  • When states encounter problems that cross state borders, why don't they just make formal agreements with each other to solve the problems? What happens in the absence of such arrangements?


  • Why would national majorities sometimes find it easier to work through the national government than through state governments? What are some examples of policy areas in which this strategy has been used?


  • What factors facilitated the expansion of national powers in the New Deal and Great Society programs?


  • What are the three main types of collective action problems faced by state governments? Give an example of each.


  • What sorts of groups find it more efficient to lobby for policy changes at the national level? What sorts of groups might prefer to do it at the state level?


  • How did the Supreme Court's decisions in McCulloch v. Maryland and Gibbons v. Ogden help pave the way for the expansionist role of the national government over a century later?


  • What are unfunded mandates? What four general forms can these mandates take? Why does the federal government increasingly rely on these mandates?