Federalism
“The federal Constitution forms a happy
combination . . . the great and aggregate
interests being referred to the national, and
the local and particular to state
governments.”
– James Madison, Federalist 10
Unitary system
Federalism
Confederation
American Federalism

Dual Federalism (layered cake)




“States’ rights”
National gov’t limited to
enumerated powers
Dual sovereignty, dual citizenship
Cooperative Federalism
(marbled cake)



“We the people” (i.e. not the
states)
National gov’t can expand with
“elastic clause”
State sovereignty limited by
“supremacy clause”
American Federalism
(continued)

Picket-fence Federalism



Pragmatic policy-making is more important than
theoretical arguments and formal divisions
Still takes into account the background of separation
American Federalism is a Dynamic system
characterized by
1) Ambiguity
2) Pragmatism (political, logistical, & economic)
3) Policy-based Organization
The Dynamics of American Federalism

What moves this dynamic?
1) National Crises & Demands
crisis increases need for unified direction, effort, &
resources; e.g. Great Depression, 9/11
 Some national needs require unity & coordination;
e. g. Nutrition Labeling and Education Act 1990

2) Judicial Interpretation
Possible (inherent?) contradictions in Constitution
 Challenges to new legislation (especially preemptive
legislation) are often based on interpretations of the
10th Amendment
 Conflicting interests often use whichever position
favors their cause

3) Financial Incentives/Fiscal
Federalism
Categorical Grants, Block grants
 e.g. South Dakota v Dole 1987,
Stimulus Package 2009

4) Professionalization of State
Gov’t
Internal changes (e.g. higher
salaries, better education, fulltime staff)
 State tax & budgetary reform
 Fiscal Federalism (e.g. E&SEA
1965 - NCLB 2001)

The Dynamics of
American Federalism
(continued)
Trends in Federalism

In America

Growth of local gov’t



Expansion of national gov’t


county gov’t (some townships), municipal gov’t, school districts,
some special districts
Over 87,000 local gov’t
Growth of Preeminent legislation
Abroad

States’ abroad




>30 have intnat’l trade directors
Most have foreign offices of some kind
The European Union
Africa, Iraq
Pros & Cons

“Laboratories of Democracy”





Experimentation & Competition
Diversity & Freedom of Choice
Greater Participation & Responsiveness
Efficiency, Decisiveness, Speed of Action
Conflict Management



May help governing of diverse & semi-autonomous
groups
May also contribute to or prolong conflict
e.g. Germany, Iraq
Pros & Cons

Minority Rights



“Race to the Bottom?”




Factions, benefits of a “large republic”
History of Intolerance (e.g. Voting Rights Act 1965,
protection of civil rights)
States determine social welfare benefits
They also compete to be the home of businesses
Does one affect the other?
Lack of Accountability?


Sharing burden, but also blame
e.g. Hurricane Katrina
Federalism Fun Facts – who
spends what (circa 2005-06)?





EDUCATION (K-12)---Feds provide 9%, States
47.3%, Local govts. 43.7%
HEALTH CARE---Feds provide 31.5%, States
12%, Others 56%
PRISONERS---Federal 12.3%, State & local
87.7%
HIGHWAYS—Feds provide 28.78%, States and
locals 71.22%
INCOME SECURITY (welfare) – Feds provided
about 2/3 in 1995
KEY SUPREME COURT
CASES in Federalism





McCulloch v. Maryland (1819) -- Bank of
US, N & P clause
Gibbons v. Ogden (1824) – steamboat
case, IC clause
Child labor, minimum wage, monopoly
cases in late 19th Century, IC clause
NLRB v. Jones & Laughlin Steel (1937), IC
clause
Heart of Atlanta Motel v. US (1964), IC
clause
Are we in the middle of a
“states’ rights” revolution?






US v. Lopez (1995) -- guns ‘n’ schools
Printz v. US (1997) -- Brady bill
US v. Morrison (2000) – VAWA
Revival of “sovereign immunity” principle
Gonzales v. Oregon (2006) – assisted
suicide
More and more states “going it alone” on
environment, min. wage, health care,
stem cells
NOT SO FAST, my STATES’
RIGHTS FRIEND!


1.) Continuing Pre-Emption by Federal
Govt. in selected policy areas (election
reform, voter registration, education
standards, gunmaker liability, tort reform,
health insurance)
2.) Countermoves by Supreme Court
(medical marijuana, disability access)
MORE ON GRANTS





MANDATES – funded or unfunded
Competitive categorical grants
Formula categorical grants
Block grants – welfare converted to a
block grant in 1996
Political incentives for block grants
(Stimulus spending school example)