Chapter 4

FEDERALISM

Learning Outcomes

4.1 Compare and contrast two theories of federalism used to describe the American system of government.

4.2 Identify and explain each of the four forces that stimulate changes in the relationship between the national and state governments.

4.3 Describe the role of ideology in shaping federalism.

4.4 Describe the influence of federalism on elections at the state and national levels.

Copyright © 2014 Cengage Learning 2

Learning Outcomes

4.5 Describe the role of local government in a federal system and illustrate how national, state, and local governments sometimes interact.

4.6 Analyze the role of federalism in American foreign policy.

4.7 Discuss the changing relationship between federalism and pluralism.

Copyright © 2014 Cengage Learning 3

Theories and Metaphors



Federalism

 Two or more governments have power in same territory  Powers: exclusive or shared  Two common representations   Dual federalism Cooperative federalism Copyright © 2014 Cengage Learning 4

Theories and Metaphors



Dual Federalism

 National government rules by enumerated powers  National government has limited set of constitutional purposes  Each government unit is sovereign within its sphere  Relationship between nation and state characterized by tension Copyright © 2014 Cengage Learning 5

Theories and Metaphors



Dual Federalism

 States ’ rights: primary importance  Rights not specifically conferred on national government reside with the states  “ Layer-cake federalism ”  Implied powers Copyright © 2014 Cengage Learning 6

Theories and Metaphors

Copyright © 2014 Cengage Learning 7

Theories and Metaphors



Cooperative Federalism

 Overlap between national and state government functions  Rejects idea of separate spheres/layers  “ Marble cake federalism ”  Elastic (necessary and proper) clause – basis for Congress ’ s implied powers Copyright © 2014 Cengage Learning 8

Theories and Metaphors



Comparing Theories

 Elastic clause and Tenth Amendment interpreted differently  Dual federalism interprets elastic clause strictly and Tenth Amendment widely  Cooperative federalism views elastic clause flexibly and Tenth Amendment as an obvious truth Copyright © 2014 Cengage Learning 9

Federalism

’

s Dynamics



Debate: Balance of Power Between Nation and States

 Federalism is flexible and dynamic  Decision making based on politics and policy goals rather than theory or ideology  Growing recognition that public problems cut across governmental boundaries Copyright © 2014 Cengage Learning 10

Federalism

’

s Dynamics

 

Four Forces Prompt Changes in Relationships Between National Government and States

National crises and demands    Judicial interpretations Expansion of grants-in-aid Professionalization of state governments Copyright © 2014 Cengage Learning 11

Federalism

’

s Dynamics



National Crises and Demands

 Congress has increased scope of national government  Elastic clause and enumerated powers  Greatest changes: during crises and emergencies  Civil War, world wars, Great Depression, 9/11 and 2008 recession  Example: USA Patriot Act expanded government ’ s powers to fight terrorism Copyright © 2014 Cengage Learning 12

Federalism

’

s Dynamics



National Crises and Demands

 Role of national government has grown to meet needs state and local governments were unwilling or unable to meet  American Recovery and Reinvestment Act Copyright © 2014 Cengage Learning 13

An Environmental Catastrophe Brother, Can You Spare a Billion?

Copyright © 2014 Cengage Learning 14



Federalism

’

s Dynamics

Judicial Interpretation

 Federal courts ’ interpretations of Constitution and federal laws influence relationship between nation and states  Supreme Court rulings have swung between favoring states ’ rights and national government  After 1995, conservative Supreme Court tends to favor states ’ rights with some exceptions Copyright © 2014 Cengage Learning 15

Federalism

’

s Dynamics



Judicial Interpretation

 Ends and means – expanded the role of national government  Commerce clause – Congress has the power to regulate commerce among the states  Key decisions:  

McCullough v. Maryland

(1819)

Gibbons v. Ogden

(1824) 

Dred Scott

decision (1857) Copyright © 2014 Cengage Learning 16

Federalism

’

s Dynamics



Judicial Interpretation

 Umpire strikes back  1990s U.S. Supreme Court decisions: states ’ rights gaining ground 

United States v. Lopez

(1995) 

Printz v. United States

(1997)  Federalism ’ s shifting scales  Violence Against Women Act 

Bush v. Gore

 Death Penalty Cases Copyright © 2014 Cengage Learning 17

Federalism Dynamics



Grants-in-Aid

 Money provided by one level of government to another for specific purpose  Categorical grants   Formula grants Project grants  Block grants  Grant money – strings attached Copyright © 2014 Cengage Learning 18

Trends in National Government Grants to States and Localities, Fiscal year (FY) 1980 to 2012

Copyright © 2014 Cengage Learning 19

Federalism Dynamics



Professionalization of State Governments

 Since 1960s, states have become more capable and forceful policy actors  Internal changes fostered capabilities   More experienced staff Legislatures meeting more often and elected officials receive higher salaries  Increased ability to raise revenue  Most professional and service occupations require college degree Copyright © 2014 Cengage Learning 20

Federalism Dynamics



Professionalization of State Governments

 Changes in national policy help states develop capabilities  Elementary and Secondary Education Act (ESEA)  Title V – several provisions strengthened state departments of education  ESEA ’ s revision - No Child Left Behind Act  Changes in state governments ’ demands by public abilities = new Copyright © 2014 Cengage Learning 21

Ideology, Policymaking, and American Federalism



Ideology, Policymaking, and Federalism in Theory

   Conservatives - dual federalism Different states have different problems/resources Returning control to states would promote diversity   Liberals - cooperative approach States unwilling or unable to protect the rights or provide for the needs of citizens  States ’ rights model allowed extreme political and social inequities Copyright © 2014 Cengage Learning 22

Ideology, Policymaking, and Federalism



Ideology, Policymaking, and Federalism in Practice

 National intervention in state functions  Preemption, mandate, restraint, coercive federalism  Constraining unfunded mandates   Pace of unfunded mandates increasing Unfunded Mandates Relief Act of 1995 Copyright © 2014 Cengage Learning 23

Federalism and Electoral Politics



National Capital – State Capital Links

 Experience at state level  Builds network contacts, die-hard constituents, and potential fundraisers  State governors benefit from national affiliations  Gain name recognition, friendships, and reputation in Washington  National level politicians help campaign for local favorites Copyright © 2014 Cengage Learning 24

Joined at the Hip

Copyright © 2014 Cengage Learning 25

Federalism and Electoral Politics



Congressional Redistricting

 U.S. House seats reapportioned after census  State and local districts redrawn to reflect population shifts  Section 5 of the Voting Rights Act: states subject to preclearance of redistricting plans  Proposed plans cannot be “ retrogressive in purpose or effect ” – will not dilute minority voting strength Copyright © 2014 Cengage Learning 26

Federalism and the American Intergovernmental System



Thousands of Governments

 In addition to national and state, U.S. has over 89,000 local governments      Municipal governments County governments School districts Special districts Home rule Copyright © 2014 Cengage Learning 27

Federalism and the American Intergovernmental System



Crosscutting Responsibilities

 National government continues to support state and local governments  Enormous spending pressures on state and local government  Economic downturn - tax revenues not matched to state expenditures  Responses to crises bring different levels of government together, leading to turf battles Copyright © 2014 Cengage Learning 28

Cooperating Cops

Copyright © 2014 Cengage Learning 29

Federalism and the International System



American Federalism and World Politics

 Can have important impacts on how the U.S. deals with other nations  National government has primary responsibility for trade policy  State International Development Organization (SIDO) Copyright © 2014 Cengage Learning 30

Federalism and the International System



Federalism Across the Globe

 Movement towards diminished state sovereignty and increased interstate linkages  Nearly 200 politically sovereign states in world  24 federations embrace 2.5 billion people, or 40 percent of the world population  New versions of federal idea on rise   Iraq, Sudan European superstate Copyright © 2014 Cengage Learning 31

Federalism and Pluralism



Changing Relationship Between Federalism and Pluralism

 Cooperative and dual federalism support pluralism  National government relies on regulatory power to shape state policies  Mandates and restraints – coercive federalism  Shift from pluralist to majoritarian model Copyright © 2014 Cengage Learning 32