Chapter 4

WSU Essay 2 Federalism: Discuss 3 Advantages of Federalism, and 3 disadvantages of Federalism

Chapter 4 Scenario #1  Read page  Do you think the Arizona immigration law is good or bad? Should Arizona have the right to enforce this law, or should the supremacy clause and federalism prevent part of it from being enforced? Explain.  (at least a 5 sentence paragraph) 3

Theories and Metaphors  U.S. Constitution designed a new form of government  With federalism, two or more governments have power and authority in same territory  Powers either exclusive or shared 4

Federalism 5 The division of power between a central government and state governments.

6 Federalism can be explained with a cake metaphor (Dual vs. Cooperative). More on that in a bit…

Dual Federalism  This theory has a rigid wall between national government and state government  National government rules by enumerated powers only (explicitly given powers)  National government has limited set of constitutional purposes  Each government sovereign within its sphere  Relationship characterized by tension rather than cooperation 7

Dual Federalism  States’ rights of primary importance  “Layer-cake federalism” gives states ability to interpret some national policies  See how your state compares to the U.S.:  Main question: who created the U.S. – the states or the people?  Question where people fit in not handled well by dual federalism 8

Cooperative Federalism  Theory sees overlap of national and state government functions, not separate spheres  “Marble cake federalism” has national and state governments with intermingled functions  Supremacy clause key  Jointly/shared 9

Figure 4.1 Metaphors for Federalism 10

10 th vs. Elastic  10 th Amendment: The powers not delegated to the United States by the Constitution, nor prohibited by it to the States, are reserved to the States respectively, or to the people.  Elastic/Necessary and Proper Clause: The Congress shall have Power - To make all Laws which shall be necessary and proper for carrying into Execution the foregoing Powers, and all other Powers vested by this Constitution in the Government of the United States, or in any Department or Officer there of. (pg. A-7)  Article I, Section 8, Clause 18 11

Comparing Theories  Critical difference is the way the “elastic clause” or “necessary and proper clause” and the Tenth Amendment interpreted  Dual federalism interprets elastic clause strictly and Tenth Amendment widely  Cooperative federalism views elastic clause as flexible and Tenth Amendment as obvious truth 12

Federalism’s Dynamics  Balance of power between national and state governments a matter of debate  Federalism not mechanical, but flexible  Politics and policy goals usually dictate decision making rather than ideology  Public recognizes that public problems cut across governmental boundaries 13

 4 specific forces that can prompt changes in relationships between the national government and the states:  National crises and demands  Judicial interpretations  Expansion of grants-in-aid  Professionalization of state governments 14

Ch. 4 Scenario #2  Read National Crises and Demands on page  How did the New Deal portray cooperative federalism (marble cake)? Do you think the New Deal was good in the sense of the increase in the scope of the national government, or was it a negative?  What are your thoughts on the PATRIOT Act? 15

National Crises and Demands  Congress has used enumerated powers and elastic clause to increase scope of national government from original plan  Greatest changes come during national crises, like the Great Depression  The New Deal caused great change in how Americans thought about government’s role in solving problems  The Patriot Act also expanded government’s powers in order to fight terrorism 16

National Crises and Demands  Role of national government has grown to meet needs that state and local governments unwilling or unable to meet  The American Recovery and Reinvestment Act 17

National Crises and Demands 18 Gulf Oil Spill – April 20, million barrels of oil leaked into the Gulf. BP took responsibility and will pay billions of dollars in cleanup and loss of jobs. The disaster occurred in waters under the jurisdiction of the national government. State and local officials played a subordinate role.

National Crises and Demands 19 Feb $787 billion stimulus package to create jobs and spur investment. Road repair and infrastructure projects. chita.gov/Gov ernment/Stim ulus/default.h tm

Judicial Interpretation  Federal courts’ interpretations of Constitution and federal laws also shapes federalism  Over the years, Supreme Court rulings have swung between states’ rights and national government in decisions about the balance of power 20

Ends and Means  Nationalist interpretation prevailed in the early 19 th century  McCullough v. Maryland (1819)  Gibbons v. Ogden (1824)  Around 1836, decisions began to favor states  Dred Scott (1857)  The Great Depression led to swing back to nationalist rulings 21

Federalism’s Shifting Scales  Commerce clause one area of policy swing back to states’ rights by the Court in the 1990s and 2000s  United States v. Lopez (1995)  Printz v. United States (1997)  Ruling on Violence Against Women Act 22

Back to Nationalism  Bush v. Gore in 2003 started a more nationalistic trend by the Court  Texas law regarding homosexual acts overturned  Rulings regarding application of death penalty also more nationalistic 23

Grants-in-Aid  National government uses financial incentives and aid to influence relationship with state governments  Grants-in-aid are paid by one level of government to another for a specific purpose  Usually strings attached, including matching funds requirement 24

Types of Grants  Categorical grants – specific purposes  Formula grants – rules on who and how much  Project grants – competitive application process  Block grants – general purposes  Grants a way to redistribute income  Main trend is towards health-care spending, about 50% of all funds given to states 25

Drinking AgeScenario #3  Read the two paragraphs on the middle of page 114 to the top of page 115 about the drinking age.  Do you think that the influence of the national government on state drinking laws has had a good effect? Can the national government technically do this? 26 The national government regulates many behaviors indirectly related to highway travel! S.D. v. Dole. = every state Restaurants not happy

27 Figure 4.2 Trends in National Government Grants to States and Localities, FY 2006 to 2009

Professi0nalism of State Governments  Expanded state government capabilities have changed federal system  More experienced staff  Legislatures meeting more often  Elected officials getting higher salaries, so more qualified people running for office  State tax and budgetary reforms increased revenues  Better educated officials working for departments and agencies 28 x

Working for the Public  Official employment for U.S. government is about 2 million  If grant-funded positions added, about 15 million  Adding employees at the state and local levels increases total even more 29

UNF 4-4a Total Public Sector Employment as a Percent of Total Population (2005) 30

UNF 4-4b UNF 4-4b Distribution of Employment Between the Federal and Sub-national Levels of Government (2005) 31 By far, most public sector workers in the U.S. are found at the state and local levels. Firemen, police officers, teachers…

Changes in Federalism  Changes in national policy have helped states develop capabilities  Title V of the Elementary and Secondary Education Act (ESEA) of 1965  ESEA’s revision, the No Child Left Behind Act of 2001  Changes in state governments’ abilities also mean new demands by the public 32 x

Ideology, Policymaking, and American Federalism  Important to look at both concepts of federalism  In general, conservatives favor layer cake metaphor (dual federalism)  Liberals tend to favor marble cake metaphor (cooperative federalism) 33

Ideology, Policymaking, and Federalism in Theory  Conservatives favor more state control  States have different problems and resources and can better respond to local needs  Promotes competition and entrepreneurship  National government too remote, tied to special interests, and unresponsive 34

Ideology, Policymaking, and Federalism in Theory  Liberals believe state control leads to political and social inequalities  Blacks and city dwellers underrepresented  States are unwilling or unable to protect the rights and needs of citizens 35

Figure 4.3 The National Government's Contributions to State and Local Government Expenditures 36

Presidential Approaches  President Johnson’s policies favored national government control (Great Society)  Presidents Nixon and Reagan advocated giving more power to state and local governments  Also gave them funding responsibilities  President George W. Bush promoted “compassionate conservatism” while expanding national government 37 x

Ideology, Policymaking, and Federalism in Practice  Through preemption, Congress enacts laws that take over partial or complete control of a state government function  Laws either are mandates or restraints  Mandate: requirement that a state undertake an activity or provide a service, in keeping with minimum national standards  Remove specified pollutants from drinking water  Restraints: forbids state governments from exercising a certain power  Dumping sewage in the ocean  Some believe we now have coercive federalism  National government less reliant on grants; more reliant on mandates/restraints 38

Constraining Unfunded Mandates  State and local governments object to national mandates imposed without additional funding  Pace of unfunded mandates increasing  Since 2001, national government passed along more than $100 billion unfunded mandates to states 39 A.D.A. x

Label Me 40 Food labeling follows a single national standard today as a result of the Nutrition labeling and Education Act of The act preempted states from imposing different labeling requirements.

Federalism and Electoral Politics  Many who run for national office have gained experience at the state level  Many Presidents are former Governors  Experience at state level helps with funding, contacts, name recognition, and reputations  National level politicians sometimes help campaign for local favorites 41 Bush 2006 Bush 2002

Federalism and Electoral Politics 42 Presidents routinely come to the aid of fellow office seekers, hoping to increase their party’s fortunes in local and state races. Hoping to hold a 60 vote majority in the U.S. Senate, President Obama campaigned for Democrat Martha Coakley. She was running to fill the vacancy created by the death of Ted Kennedy. But she lost to Republican Scott Brown, who campaigned across the state in his 2005 GMC pick up truck.

Congressional Redistricting  After decennial national census (every 10 years), U.S. House seats reapportioned  State and local districts must be redrawn to reflect population shifts  Typically drawn by state legislatures  Redistricting complicated and political  Because of Section 5 of the Voting Rights Act, several states subject to preclearance of their redistricting plans  Must submit plans to U.S. Justice Dept for approval 43

44 Kansas Districts 2010 – Redistricting based on the 2010 Census

45 Reapportionment after 2010 census

Reapportionment 2010 Census

Red States Vs. Blue States 2004 Presidential Election Red = Republican Blue = Democrat 2000 Presidential Election 2008 Presidential Election

2012 Electoral College Map 48 lclearpolitics.c om/epolls/201 2/president/20 12_elections_ electoral_colle ge_map.html

Federalism and the American Intergovernmental System  In addition to national and state governments, U.S. has over 89,000 local governments  Municipal governments: city/town  County governments  Townships  School districts  Special districts 49

Local Government Powers  About 40 states allow cities to have some self- government through home rule:  Right to enact and enforce legislation locally  County governments usually have little legislative power  Maintain roads, administer health programs  While local governments theoretically bring government closer to the people, voter turnout less than for national elections  SG County turnout = 9% in  System’s complexity encourages pluralism 50

Whose Rules? 51 Grand Staircase- Escalante National Monument in Southern Utah was established by presidential decree in It sits on 1.7 million acres of rugged land. The decree irked local residents, who had hoped for greater industrial development, which is now barred. They have fought back by claiming ownership of hundreds of miles of dirt roads and riverbeds in the monument. The conflicting signs illustrate the controversy. On the left, the local county government permits use of ATVs. On the right, the national government signals the opposite. x

Crosscutting Responsibilities  Though supported by national government, local and state responsibilities tremendous  Housing sector slump and economic downturn since 2008 have hurt state and local budgets  Must cut services and/or raise taxes  Many times, responses to crises bring different levels of government together, leading to turf battles (see sniper story on pg ) 52

Times Square Bombing 53 x

Federalism Across the Globe  Some scholars see movement towards diminished state sovereignty  New versions of federal idea arising  Federalism a challenge in countries like Iraq or in the European Union because of ethnic, cultural, and linguistic differences 54

Federalism and Pluralism  Both cooperative and dual federalism support pluralism  In the layer cake of dual federalism, preserving variety at the state level allows people choices about where to live  The marble cake of cooperative federalism is theoretically more responsive to the pressures of interest groups and policy entrepreneurs  Coercive federalism is more a majoritarian model of government 55

WSU Essay 56 Federalism: Discuss 3 Advantages of Federalism, and 3 disadvantages of Federalism See the next two slides for some examples.

Advantages of Federalism - May encourage cooperation among levels of government - Encourages a division of labor among government - Encourages diversity and experimentation in policy - Responsive to local conditions, needs, and values - Prevents tyranny of the majority 57

Disadvantages of Federalism - Policy conflict between national and state/local governments - Policy conflict among state and local governments - Cost and expense of government - States' rights used as an excuse for exploitation of minorities - Institutionalizes inequality among the states 58

Rubric Exceeds expectationsIdentifies six solid points or at least discusses five in much more depth than most students Meet expectationsIdentifies five solid points or at least discusses four in depth Does NOT meet expectationOnly identifies four or fewer points 59