1. Chapter Four: Federalism

2. Copyright © Houghton Mifflin Company. All rights reserved.4 | 2 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

3. Copyright © Houghton Mifflin Company. All rights reserved.4 | 3 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

4. Copyright © Houghton Mifflin Company. All rights reserved.4 | 4 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

5. Copyright © Houghton Mifflin Company. All rights reserved.4 | 5 Metaphors for Federalism

6. Copyright © Houghton Mifflin Company. All rights reserved.4 | 6 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

7. Copyright © Houghton Mifflin Company. All rights reserved.4 | 7 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

8. Copyright © Houghton Mifflin Company. All rights reserved.4 | 8 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)

9. Copyright © Houghton Mifflin Company. All rights reserved.4 | 9 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 19 th and early 20 th 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

10. Copyright © Houghton Mifflin Company. All rights reserved.4 | 10 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

11. Copyright © Houghton Mifflin Company. All rights reserved.4 | 11 Trends in National Government Grants to States and Localities

12. Copyright © Houghton Mifflin Company. All rights reserved.4 | 12 The National Government’s Contributions to State and Local Government Expenditures

13. Copyright © Houghton Mifflin Company. All rights reserved.4 | 13 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

14. Copyright © Houghton Mifflin Company. All rights reserved.4 | 14 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”

15. Copyright © Houghton Mifflin Company. All rights reserved.4 | 15 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

16. Copyright © Houghton Mifflin Company. All rights reserved.4 | 16 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

17. Copyright © Houghton Mifflin Company. All rights reserved.4 | 17 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

18. Copyright © Houghton Mifflin Company. All rights reserved.4 | 18 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

19. Copyright © Houghton Mifflin Company. All rights reserved.4 | 19 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

20. Copyright © Houghton Mifflin Company. All rights reserved.4 | 20 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

21. Copyright © Houghton Mifflin Company. All rights reserved.4 | 21 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

22. Copyright © Houghton Mifflin Company. All rights reserved.4 | 22 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