Chapter 4
FEDERALISM
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
2
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
3
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
4
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
5
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
6
Theories and Metaphors
Copyright © 2014 Cengage Learning
7
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
8
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
9
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
10
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
11
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
12
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
13
An Environmental Catastrophe
Brother, Can You Spare a Billion?
Copyright © 2014 Cengage Learning
14
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
15
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
16
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
17
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
18
Trends in National Government Grants to States
and Localities, Fiscal year (FY) 1980 to 2012
Copyright © 2014 Cengage Learning
19
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
20
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
21
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
22
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
23
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
24
Joined at the Hip
Copyright © 2014 Cengage Learning
25
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
26
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
Copyright © 2014 Cengage Learning
27
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
28
Cooperating Cops
Copyright © 2014 Cengage Learning
29
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
30
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
31
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
32