1. Chapter 4
FEDERALISM

2. Copyright © 2014 Cengage Learning
Learning Outcomes
4.1 Compare and contrast two theories of federalism used to describe the American system of government. 4.2 Identify and explain each of the four forces that stimulate changes in the relationship between the national and state governments. 4.3 Describe the role of ideology in shaping federalism. 4.4 Describe the influence of federalism on elections at the state and national levels.
Copyright © 2014 Cengage Learning

3. Copyright © 2014 Cengage Learning
Learning Outcomes
4.5 Describe the role of local government in a federal system and illustrate how national, state, and local governments sometimes interact.
4.6 Analyze the role of federalism in American foreign policy.
4.7 Discuss the changing relationship between federalism and pluralism.
Copyright © 2014 Cengage Learning

4. Theories and Metaphors
Federalism
Two or more governments have power in same territory
Powers: exclusive or shared
Two common representations
Dual federalism
Cooperative federalism
Copyright © 2014 Cengage Learning

5. Theories and Metaphors
Dual Federalism
National government rules by enumerated powers
National government has limited set of constitutional purposes
Each government unit is sovereign within its sphere
Relationship between nation and state characterized by tension
Copyright © 2014 Cengage Learning

6. Theories and Metaphors
Dual Federalism
States’ rights: primary importance
Rights not specifically conferred on national government reside with the states
“Layer-cake federalism”
Implied powers
Copyright © 2014 Cengage Learning

7. Theories and Metaphors
Figure 4.1 Metaphors for Federalism
These two views of federalism can be represented graphically.
Source: © Cengage Learning.
Copyright © 2014 Cengage Learning

8. Theories and Metaphors
Cooperative Federalism
Overlap between national and state government functions
Rejects idea of separate spheres/layers
“Marble cake federalism”
Elastic (necessary and proper) clause – basis for Congress’s implied powers
Copyright © 2014 Cengage Learning

9. Theories and Metaphors
Comparing Theories
Elastic clause and Tenth Amendment interpreted differently
Dual federalism interprets elastic clause strictly and Tenth Amendment widely
Cooperative federalism views elastic clause flexibly and Tenth Amendment as an obvious truth
Copyright © 2014 Cengage Learning

10. Federalism’s Dynamics
Debate: Balance of Power Between Nation and States
Federalism is flexible and dynamic
Decision making based on politics and policy goals rather than theory or ideology
Growing recognition that public problems cut across governmental boundaries
Copyright © 2014 Cengage Learning

11. Federalism’s Dynamics
Four Forces Prompt Changes in Relationships Between National Government and States
National crises and demands
Judicial interpretations
Expansion of grants-in-aid
Professionalization of state governments
Copyright © 2014 Cengage Learning

12. Federalism’s Dynamics
National Crises and Demands
Congress has increased scope of national government
Elastic clause and enumerated powers
Greatest changes: during crises and emergencies
Civil War, world wars, Great Depression, 9/11 and 2008 recession
Example: USA Patriot Act expanded government’s powers to fight terrorism
Copyright © 2014 Cengage Learning

13. Federalism’s Dynamics
National Crises and Demands
Role of national government has grown to meet needs state and local governments were unwilling or unable to meet
American Recovery and Reinvestment Act
Copyright © 2014 Cengage Learning

14. Copyright © 2014 Cengage Learning
An Environmental Catastrophe
An Environmental Catastrophe
On April 20, 2010, an oil rig explosion in the Gulf of Mexico, 41 miles from the coast of Louisiana, caused a sea floor oil gusher of unprecedented proportions. Nearly 5 million barrels of oil leaked into the Gulf before the well was capped on July 15. The well owner, British Petroleum, bore full responsibility for the damage and will pay billions of dollars in claims for the cleanup and loss of jobs throughout the Gulf states. The disaster occurred in waters under the jurisdiction of the national government. State and local officials played a subordinate role. President Barack Obama (left), LaFourche Parish (Louisiana) president Charlotte Randolph (center), and U.S. Coast Guard Admiral Thad Allen (right) look at booms set out to collect oil during a tour of areas affected by the oil spill.
AP Photo/Evan Vucci
Brother, Can You Spare a Billion?
Congress passed, and President Obama signed, the American Recovery and Reinvestment Act in February This $787 billion package of federal spending includes direct aid to the states battered by the collapse of the economy in The aim is to create jobs and spur investment. Road repair and infrastructure projects are key components. You can track spending by zip code and much more at
AP Photo/Jim Prisching
Brother, Can You Spare a Billion?
Copyright © 2014 Cengage Learning

15. Federalism’s Dynamics
Judicial Interpretation
Federal courts’ interpretations of Constitution and federal laws influence relationship between nation and states
Supreme Court rulings have swung between favoring states’ rights and national government
After 1995, conservative Supreme Court tends to favor states’ rights with some exceptions
Copyright © 2014 Cengage Learning

16. Federalism’s Dynamics
Judicial Interpretation
Ends and means – expanded the role of national government
Commerce clause – Congress has the power to regulate commerce among the states
Key decisions:
McCullough v. Maryland (1819)
Gibbons v. Ogden (1824)
Dred Scott decision (1857)
Copyright © 2014 Cengage Learning

17. Federalism’s Dynamics
Judicial Interpretation
Umpire strikes back
1990s U.S. Supreme Court decisions: states’ rights gaining ground
United States v. Lopez (1995)
Printz v. United States (1997)
Federalism’s shifting scales
Violence Against Women Act
Bush v. Gore
Death Penalty Cases
Copyright © 2014 Cengage Learning

18. Copyright © 2014 Cengage Learning
Federalism Dynamics
Grants-in-Aid
Money provided by one level of government to another for specific purpose
Categorical grants
Formula grants
Project grants
Block grants
Grant money – strings attached
Copyright © 2014 Cengage Learning

19. Copyright © 2014 Cengage Learning
Trends in National Government Grants to States and Localities, Fiscal year (FY) 1980 to 2012
Figure 4.2 Trends in National Government Grants to States and Localities, Fiscal year (FY) 1980 to 2012
National government grants to states and localities vary substantially. In 1980, education programs accounted for the biggest slice of the national government pie. In 1990, grants for health programs, reflecting the expanding costs of Medicaid, took the biggest slice, reaching more than 30 percent of all national government grants to state and local governments. In 2000, health grants exceeded 43 percent of all such national government spending. By 2012, despite a downturn in the overall budget, health grants consumed nearly 50 percent of national government grants to the states, yet another indicator of the nation’s health-care crisis.
Source: Historical Tables, Budget of the United States Government, FY2012, Table 12.3,
Copyright © 2014 Cengage Learning

20. Copyright © 2014 Cengage Learning
Federalism Dynamics
Professionalization of State Governments
Since 1960s, states have become more capable and forceful policy actors
Internal changes fostered capabilities
More experienced staff
Legislatures meeting more often and elected officials receive higher salaries
Increased ability to raise revenue
Most professional and service occupations require college degree
Copyright © 2014 Cengage Learning

21. Copyright © 2014 Cengage Learning
Federalism Dynamics
Professionalization of State Governments
Changes in national policy help states develop capabilities
Elementary and Secondary Education Act (ESEA)
Title V – several provisions strengthened state departments of education
ESEA’s revision - No Child Left Behind Act
Changes in state governments’ abilities = new demands by public
Copyright © 2014 Cengage Learning

22. Ideology, Policymaking, and American Federalism
Ideology, Policymaking, and Federalism in Theory
Conservatives - dual federalism
Different states have different problems/resources
Returning control to states would promote diversity
Liberals - cooperative approach
States unwilling or unable to protect the rights or provide for the needs of citizens
States’ rights model allowed extreme political and social inequities
Copyright © 2014 Cengage Learning

23. Ideology, Policymaking, and Federalism
Ideology, Policymaking, and Federalism in Practice
National intervention in state functions
Preemption, mandate, restraint, coercive federalism
Constraining unfunded mandates
Pace of unfunded mandates increasing
Unfunded Mandates Relief Act of 1995
Copyright © 2014 Cengage Learning

24. Federalism and Electoral Politics
National Capital – State Capital Links
Experience at state level
Builds network contacts, die-hard constituents, and potential fundraisers
State governors benefit from national affiliations
Gain name recognition, friendships, and reputation in Washington
National level politicians help campaign for local favorites
Copyright © 2014 Cengage Learning

25. Copyright © 2014 Cengage Learning
Joined at the Hip
Joined at the Hip
Presidents routinely come to the aid of fellow office seekers, hoping to increase their party’s fortunes in local and statewide races. In 2012, President Obama joined U.S. Senate candidate Elizabeth Warren at a June fundraiser. Warren is running against Scott Brown, the Republican Massachusetts incumbent. Brown surprised heavily Democratic Massachusetts voters in 2010 when he won the vacancy following the death of long-serving liberal senator, Edward Kennedy.
Matthew J. Lee/The Boston Globe via Getty Images
Copyright © 2014 Cengage Learning

26. Federalism and Electoral Politics
Congressional Redistricting
U.S. House seats reapportioned after census
State and local districts redrawn to reflect population shifts
Section 5 of the Voting Rights Act: states subject to preclearance of redistricting plans
Proposed plans cannot be “retrogressive in purpose or effect” – will not dilute minority voting strength
Copyright © 2014 Cengage Learning

27. Federalism and the American Intergovernmental System
Thousands of Governments
In addition to national and state, U.S. has over 89,000 local governments
Municipal governments
County governments
School districts
Special districts
Home rule
Whose Rules?
Grand Staircase–Escalante National Monument in southern Utah was established by presidential decree in It sits on 1.7 million acres of austere and 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, dry washes, and riverbeds in the monument. The conflicting signs illustrate the controversy. On the left, the local government, Kane County, approves use of all-terrain vehicles. On the right, the national government signals just the opposite.
Kevin Moloney/The New York Times/Redux
Copyright © 2014 Cengage Learning

28. Federalism and the American Intergovernmental System
Crosscutting Responsibilities
National government continues to support state and local governments
Enormous spending pressures on state and local government
Economic downturn - tax revenues not matched to state expenditures
Responses to crises bring different levels of government together, leading to turf battles
Copyright © 2014 Cengage Learning

29. Copyright © 2014 Cengage Learning
Cooperating Cops
Cooperating Cops
Police forces at the national, state, and local level have separate and overlapping spheres of responsibility. Here members of the New York Police Department and the Joint Terrorism Task Force of the Federal Bureau of Investigation raided a New Jersey apartment in 2010 whose occupants were suspected to have ties to terrorism suspect Mohamed Hamoud Alessa who was arrested before getting on a plane a New York’s JFK Airport. In 2011, Alessa and another suspect pleaded guilty in federal court to conspiracy to murder individuals on behalf of a foreign terrorist group.
John Munson/Star Ledger/Corbis
Copyright © 2014 Cengage Learning

30. Federalism and the International System
American Federalism and World Politics
Can have important impacts on how the U.S. deals with other nations
National government has primary responsibility for trade policy
State International Development Organization (SIDO)
Copyright © 2014 Cengage Learning

31. Federalism and the International System
Federalism Across the Globe
Movement towards diminished state sovereignty and increased interstate linkages
Nearly 200 politically sovereign states in world
24 federations embrace 2.5 billion people, or 40 percent of the world population
New versions of federal idea on rise
Iraq, Sudan
European superstate
Copyright © 2014 Cengage Learning

32. Federalism and Pluralism
Changing Relationship Between Federalism and Pluralism
Cooperative and dual federalism support pluralism
National government relies on regulatory power to shape state policies
Mandates and restraints – coercive federalism
Shift from pluralist to majoritarian model
Copyright © 2014 Cengage Learning