1. Chapter 4
Federalism

2. 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

3. 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

4. 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

5. 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

6. Figure 4.1 Metaphors for Federalism

7. 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

8. 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

9. 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

10. National Crises and Demands

11. 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

12. National Crises and Demands

13. 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

14. 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

15. 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

16. 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

17. 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

18. 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

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

20. 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

21. 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

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

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

24. 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

25. 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)

26. 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

27. 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

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

29. 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

30. 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

31. 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

32. Label Me

33. 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

34. Federalism and Electoral Politics

35. 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

36. 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

37. 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

38. Whose Rules?

39. Times Square Bombing

40. 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

41. 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

42. 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

43. 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