Chapter 4 Federalism

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

Dual Federalism Theory has a rigid wall between national government and state government National government rules by enumerated powers only National government has limited set of constitutional purposes Each government sovereign within its sphere Relationship characterized by tension rather than cooperation

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.: http://www.fedstats.gov/qf Main question: who created the U.S. – the states or the people? Question where people fit in not handled well by dual federalism

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

Figure 4.1 Metaphors for Federalism

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

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

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

National Crises and Demands

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

National Crises and Demands

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

Ends and Means Nationalist interpretation prevailed in the early 19th 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

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

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

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

Types of Grants Categorical grants Block grants Formula grants Project grants Block grants Grants a way to redistribute income Main trend is towards health-care spending, about 50% of all funds given to states

Figure 4.2 Trends in National Government Grants to States and Localities, FY 2006 to 2009 Text says fy 1980 to 2010

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

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

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

UNF 4-4b Distribution of Employment Between the Federal and Sub-national Levels of Government (2005)

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

Ideology, Policymaking, and American Federalism American federal system provides great opportunities for policy entrepreneurs Many work at more than one level of government to influence policy 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)

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

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

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

Presidential Approaches President Johnson’s policies favored national government control Presidents Nixon and Reagan advocated giving more power to state and local governments Also gave them funding responsibilities President Clinton saw national government as “policy guru” President George W. Bush promoted “compassionate conservatism” while expanding national government

Ideology, Policymaking, and Federalism in Practice Generalizations about liberal and conservative perspectives regarding federalism sometimes misleading Through preemption, Congress enacts laws that take over partial or complete control of a state government function Laws either are mandates or restraints Some believe we now have coercive federalism

Constraining Unfunded Mandates State and local governments object to national mandates imposed without additional funding Pace of unfunded mandates increasing Unfunded Mandates Relief Act of 1995 not particularly effective

Label Me

Federalism and Electoral Politics Many who run for national office have gained experience at the state level Experience at state level helps with funding, contacts, name recognition, and reputations National level politicians sometimes help campaign for local favorites

Federalism and Electoral Politics

Congressional Redistricting After decennial national census, U.S. House seats reapportioned State and local districts must be redrawn to reflect population shifts Redistricting complicated and political Because of Section 5 of the Voting Rights Act, several states subject to preclearance of their redistricting plans

Federalism and the American Intergovernmental System In addition to national and state governments, U.S. has over 89,000 local governments Municipal governments County governments Townships School districts Special districts

Local Government Powers About 40 states allow cities to have some self-government through home rule County governments usually have little legislative power While local governments theoretically bring government closer to the people, voter turnout less than for national elections

Whose Rules?

Times Square Bombing

Crosscutting Responsibilities Though supported by national government, local and state responsibilities tremendous Housing sector slump and economic downturn have hurt state and local budgets Many times, responses to crises bring different levels of government together, leading to turf battles

Federalism and the International System The dynamics of federalism affect how U.S. deals with other nations While national government has primary responsibility for trade policy, states also active State International Development Organization (SIDO) State and local divestment to support human rights

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

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