Transcript Chapter Four: Federalism

Chapter Four:
Federalism
Theories and Metaphors
• Sovereignty: the quality of being supreme in
power or authority
• The delegates who met in Philadelphia wrote a
new constitution and invented a new political
form—federal government—that combined
features of a confederacy with features of a
unitary government
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Theories and Metaphors
• Federalism: the division of power between a
central government and regional governments
– Citizens’ fears that majorities with different interests and
values would rule them were calmed by the creation of
federalism
– Two or more governments exercise power and authority
over the same people and the same territory
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Theories and Metaphors
• Dual Federalism (layer-cake federalism): a view that holds the
Constitution is a compact among sovereign states, so that the
powers of the national governments and the states are clearly
differentiated
– The national government rules by enumerated powers only
– The national government has a limited set of constitutional
purposes
– Each government unit—nation and state—is sovereign within its
sphere
– The relationship between nation and states is best characterized by
tension rather than cooperation
• States’ rights: the idea that all rights not specifically conferred
on the national government by the Constitution are reserved to
the states
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Metaphors for Federalism
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Theories and Metaphors
•
Cooperative Federalism (marble-cake federalism): a view that holds that
the Constitution is an agreement among people who are citizens of both
state and nation, so there is much overlap between state powers and
national powers
– A different theory of the relationship between state and national governments
– The components are cooperative federalism include:
• National and state agencies typically undertake government functions jointly rather than
exclusively
• The nation and states routinely share power
• Power is not concentrated at any government level or in any agency
• Fragmentation of responsibilities gives people and groups access to many venues of
influence
•
Critical difference between dual and cooperative federalism lays in
interpretation of the elastic clause and the Tenth Amendment
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Federalism’s Dynamics
• The actual and proper balance of power
between the nation and states has always been
more a matter of debate than of formal theory
– American federalism is a flexible and dynamic system
– Policymakers across all levels of government make
decisions based on pragmatic considerations rather than
because of federalist theory
– Growing recognition that public problems cut across
governmental boundaries
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Federalism’s Dynamics
• National Crises and Demands
– Congress often uses the Elastic Clause to increase the
scope of the national government
.
– Greatest changes have come in times of crisis and
national emergencies (e.g., The Great Depression, the
aftermath of September 11, 2001)
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Federalism’s Dynamics
• Judicial Interpretation
– Supreme Court settles disagreements over the powers of
the national and state governments by deciding whether
the actions of either are unconstitutional
• In the 19th and early 20th centuries, the Court tended to
decide in favor of the states
• From 1937 to 1995, the Court almost always supported the
national government
• Since 1995, the Court has tended to favor states’ rights, but
with some important exceptions
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Federalism’s Dynamics
• Judicial Interpretation
– The Supreme Court has used various definitions of “commerce”
in decisions regarding the Commerce Clause, (Article I, Section
8, of the Constitution)
• A narrow definition favors states’ rights
• A broad definition favors the national government
• During the New Deal and after the Great Depression, court rulings upheld
several major New Deal measures using the Commerce Clause; voters
seemingly endorsed the economic crisis as a national problem that
demanded national action
• In the 1990s and afterward, however, a Supreme Court ruling involving the
commerce clause and rulings concerning gun control legislation suggested
that the states’ rights position was gaining ground, though not
unambiguously
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Federalism’s Dynamics
•
Grants-in-Aid
– Grant-in-Aid: money provided by one level of government to another to be spent
for a given purpose
– Categorical Grants: grants-in-aid targeted for a specific purpose by either
formula or project
• Formula Grants: categorical grants distributed according to a particular set of rules,
called a formula, that specify who is eligible for the grants and how much each eligible
applicant will receive
• Project Grants: categorical grants awarded on the basis of competitive applications
submitted by prospective recipients to perform a specific task or function
– Block Grants: grants-in-aid awarded for general purposes, allowing the recipient
great discretion in spending the grant money
– Both grants-in-aid and categorical grants have influenced the federal
government’s control over states.
•
The emergence of state governments as more capable policy actors has
also produced dynamic changes in the American federal system
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Trends in National Government
Grants to States and Localities
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The National Government’s Contributions to
State and Local Government Expenditures
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Ideology, Policymaking,
and American Federalism
• Policy entrepreneurs: citizens, members of
interest groups, or public officials who champion
particular policy ideas
– Federalism offers entrepreneurs many different venues to
attempt to influence policy and politics
– The most creative entrepreneurs can work at many levels
simultaneously
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Ideology, Policymaking,
and American Federalism
• Ideology, Policymaking and Federalism in Theory
– Conservatives are often associated with the layer-cake metaphor
• Believe that different states have different problems and resources
• Returning control to state governments would actually promote
diversity
• Ronald Reagan’s “new New Federalism”
– Liberals are associated more with the marble-cake approach
• Believe the states remain unwilling or unable to protect the rights or
to provide for the needs of their citizens
• FDR’s “New Deal”
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Ideology, Policymaking,
and American Federalism
• Ideology, Policymaking and Federalism in Practice
– Preemption: the power of Congress to enact laws by which the
national government assumes total or partial responsibility for a
state government function
– Preemption infringes on state powers in two ways
• Mandates: a requirement that a state undertake an activity or
provide a service, in keeping with minimum national standards
• Restraints: a requirement laid down by an act of Congress,
prohibiting a state or local government from exercising a certain
power
– Congress constrained the use of unfunded mandates
in 1995
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Federalism and Electoral Politics
• National Capital – State Capital Links
– State capitals often serve as proving grounds for politicians who aspire
to national office
– 4 of the last 5 presidents have served as a state governor
• Congressional Redistricting
• Redistricting: the process of redrawing political
boundaries to reflect changes in population
– State legislatures typically draw congressional district lines in their state
– Reveals crucial connections between all levels of government
– Preclearance requires some states to submit redistricting plans to the
U.S. Department of Justice for approval
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Federalism and the
American Intergovernmental System
• Thousands of Governments
– 1 national government, 50 state governments, 87,500+ local governments
• Municipal Governments: government units that administer a city or town
• County Governments: government units that administer a county
• School Districts: government units that administers elementary and secondary
school programs
• Special Districts: Government units created to perform particular functions,
especially when those functions are best performed across jurisdictional
boundaries
– Home Rule: the right to enact and enforce legislation locally
– Large number of governments makes it possible for government to
respond to diverse conditions
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Federalism and the
American Intergovernmental System
• Crosscutting Responsibilities
– Many states have been forced to raise taxes to meet
public demands
– Local crises may require assistance from other levels of
government
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Federalism and the International System
• American Federalism and World Politics
– Example: Trade Politics
– National government, but not the state, has justification
and authority to develop trade agreements and regulate
imports and exports
– State leaders do develop and advance their own trade
agenda
– 38 states have their own international trade director
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Federalism and the International System
• Federalism Across the Globe
– Among the 195 nations of the world – 25 are federations
– These embrace 2.5 billion people, or 40% of the world’s
population
– New variations of federalism continue to develop – e.g.,
the European Union
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Federalism and Pluralism
• The layer-cake approach (dual federalism)
– Aims to maintain important powers in the states
– Seeks to protect the states’ powers from an aggressive or
assertive national government
– Preserving variety at the state level allows the people a
choice of policies under which to live
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Federalism and Pluralism
• The marble cake approach (cooperative
federalism)
– Sees relations between levels of government in more fluid
terms
– Is willing to override state standards for national ones,
depending upon the issues at stake
– Highly responsive to pressure from all kinds of
entrepreneurs and groups
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