Federalism Chapter Three The Logic of American Politics

American-Style Federalism Federal system: – Authority divided between two or more distinct levels of government. –Example? Hybrid of: –Confederation –Unitary System

Qualifications of Federal Systems Three general conditions: 1.The same people and territory are included in both levels of government. 2.The nation’s Constitution protects units at each level of government from encroachment by the other units. 3.Each unit is in a position to exert some leverage over the other.

Types of Federalism Two distinct forms of American federalism have been identified. –Dual federalism. –Shared federalism.

Dual & Shared Federalism

Dual Federalism Nationalization –Shifted authority to the national side and away from state governments. –Today the national government has a hand in almost all policies that “concern the lives” of the citizenry. –Dual federalism no longer describes that nature of federal-state relations.

Shared Federalism National and state governments jointly supply services to the citizenry. American federalism has shifted from mostly dual to mostly shared.

Shared Federalism National politicians discovered that the wall between the federal government and the states was not impregnable. –The Constitution leaves ample room for a variety of federal-state relations.

The Constitution and Federalism Victory for states’ righters. –17th amendment Ratification of the Constitution. –States worked as a republic State conventions that directly represented the people. Supremacy Clause Article 1, Section 8

The Tenth Amendment Madison’s incentive for ratification: –Protections for the states –Protection of individual citizens. Tenth Amendment: reserved powers. Explicit endorsement of federalism.

Supreme Court: Federal/State Arbitrator Court resolved conflict between federal and state governments. Created powerful precedents: –McCulloch v. Maryland (1819) –Gibbons v. Ogden (1824)

The Logic of Nationalization Policy nationalization: –Realities of collective action (problem solving). –Purely political considerations. Road-building game example.

The Paths to Nationalization Changes in the United States: –Growth –Industrialization –Urbanization – Development of national transportation and communication systems The nation’s desire for public goods that could not be met by local communities and states increased.

The Paths to Nationalization The nationalization of public policy grew out of the requirements of collective action. –Adopt policies that outstripped the resources of the state. Examples? –States have solicited federal intervention. –Sometimes easier for the majority to work through Washington, D.C., than through the states.

Nationalization: The Solution to States’ Collective Dilemmas Collective action dilemmas may prompt states to ask Washington for help. Coordination problems. –Examples? Reneging and shirking. –Examples? Cutthroat competition. –Examples?

The Political Logic of Nationalization Difficult to lobby/persuade fifty separate states. More efficient method -- a single federal law can change policy in all fifty states at once. –National government may be more receptive. –Also, opposite can be true. Example?

Modern Federalism National government’s primacy in setting domestic policy is secure. –Recent Supreme Court decisions. Limit federal government. –Gains have been modest. –Easily circumvented by an alternative strategy of financial inducements. Preemption legislation. –Less so than sharing responsibility. “Carrots and sticks”.

The “Carrot”: Federal Grants to the States Categorical grants Block grants: –Policy targets are only generally stated. –Fewer strings are attached.

The “Stick”: Unfunded Mandates States required to administer policies to which they might object. –May be asked to pay for the administration of the policies. –Examples?

Methods Used to Prescribe State Policy The national government uses four basic methods to prescribe state policy and supervise its administration. 1.Cross-cutting requirements. 2.Crossover sanctions. 3.Direct orders. 4.Partial preemption.

Trends in Federalism Stages of American Federalism

Federal Regulation of States Before the 1970s: –Federal grants plentiful. –Few regulatory policies in place. Since the 1970s: –More coercive forms of regulation, direct orders and partial preemption favored. –Federal regulation of states concentrated in two areas: Environment. Civil rights.

Trends: Federal Regulation of States Unfunded Mandates Reform Act. The practice of unfunded mandates and preemptive legislation has continued.

Federalism: Byproduct of National Policy Federal-state relations are dynamic. –Dramatically transformed during the twentieth century. Nationalization of public policy is not based on a grand design planned by the Framers. Product of the interplay of political interests. –Problem solving. –Constituency service. Likely to continue in this form.