Chapter 4 “Federalism”
Reading “NOTES”
Federalism combines the theories of a confederate government with that of a unitary government.
***Theories and Metaphors
“ _____ Federalism” – 4 elements:
1. National government rules by __________ (expressed) powers only
2. National government has a set of ____________ principles
3. National government is ___________ within its sphere and state governments are sovereign
within their sphere (states’ rights; _____ cake federalism)
4. The relationship between national and state is _______; not cooperation
“Cooperative Federalism – national and state _______; rejects the separate spheres notion
1. National and state governments undertake functions jointly (highways)
2. National and state government share powers (power to tax; ______ cake federalism)
3. Power is not concentrated in one spot, it is fragmented and people have access to many different
values of influence.
Key to Cooperative Federalism is the _________ Clause (Article VI) – all state law is
subordinate to federal law and disregarded if it conflicts with the Constitution
Understand:
--Article I Section 8 gives the Congress powers (enumerated powers). Article I section 8 concludes with the
Elastic clause (necessary and proper clause) which gives the Congress Implied Powers to carry out those
enumerated powers.
--10th Amendment: ________ Powers to the states: powers not given the national government nor denied
the states
--____ __________ claims an inflexible elastic clause and a 10th amendment with a lot of room to work with
--__________ __________ claims that the elastic clause be very flexible and limits the 10th amendment.
***Federalism’s Dynamics
The balance of power between federal government and the states has been more of a debate than of formal
theory. Three reasons why:
1. Federalism is ________…gives everyone an opportunity to push their ideas
2. Decision making is dominated by _________ on policy rather than theoretical commitments to what
federalism should look like
3. Public problems cut across ___________ borders
What forces prompt changes in the relationship between the national and state governments?
1. National Crises and Demands: The Great Depression, The New Deal, The Patriot Act, Voting Rights Act of 1965,
2. Judicial ______________: The Federal courts interpret the Constitution and federal law. 19th and early 20th
centuries, the court (generally) favored the states; 1937-1995 the courts support the federal government; after
1995 courts have returned to favoring the states (DEVOLUTION). Most recently, courts have shifted again back to
the federal government.
 McCullough v. _________, 1819: Congress had the power to create a national bank, states could not tax it.
Marshall’s decision in this case embraced cooperative federalism.
 Gibbons v. _____, 1824: Congress had the power to regulate commerce; interpreted broadly to include
virtually every form of commercial activity
Chief Justice Roger Taney’s court (1836-1864) began to favor the states:
 Dred Scott, 1857: Congress had no power to prohibit slavery in the territories.
Shift towards National government begins:
 FDR: New Deal measures: The court begins to shift back to supporting the federal government. Originally
they did NOT support, but changed their minds. Why? Voters supported FDR? The so-called “switch in
time that saved nine”?
Shift back to the states begin:
 U.S. v. _____, 1995: Congress exceeded authority when passing a law under the Commerce Clause which
banned guns in or near a school.
 _______v. U.S., 1997: Congress could not require local officials to implement background checks on guns
 Violence Against ______ Act, 2000: The Court struck down congressional legislation that allowed federal
court lawsuits for money damages for victims of crimes “motivated by gender”
Shift BACK to the federal government??
 Bush v. ____, 2000: the Court overruled Florida’s Supreme Court in the 2000 election

Lawrence v. _____, 2003: Struck down a Texas law outlawing homosexual activity between consenting
adults.
 Atkins v. _______, 2002: Virginia (and any other state for that matter) cannot execute a mentally disabled
individual. (8th amendment, cruel and unusual punishment)
3. Grants-in-Aid : The use of financial incentives by the U.S. government; done on a matching basis most times
Two General Forms:
 Categorical Grants: specific purpose money, little if any leeway on how it is used
Two types of Categorical Grants: formula grants (specific formula determining eligibility) and Project
Grants (money awarded on a competitive application basis)
 Block Grants: Broad general purpose money. Highly political, a lot of congressional “horse-trading”
Regardless of the TYPE of grant, money from the federal government comes with strings attached. For
example, it is unconstitutional for the federal government to institute a national drinking age (South Dakota
v. Dole, 1987) but it does not bar indirect methods of instituting a national drinking age.
4. The ___________________ of State Governments: The states are more capable policy actors today. Why??
 Better ________, trained, and experienced staff
 State legislatures meet ____ days and have _______ salaries
 More state _________ available
***Ideology, Policymaking, and American Federalism
TRADITIONALLY: Conservatives believe in ____ federalism (layer cake) while Liberals believe in ___________
federalism (marble cake). Conservatives says give the states the power to deal with the unique challenges in their
own states. Liberals believe the states will not deal with issues such as equality in their states, hence the federal
government must ensure this is being done. Presidential policies since the 1960’s support this claim:
 LBJ – the high water mark of federal government intervention
 Nixon – decentralize national policies; reformulate categorical grants to block grants
 Reagan – restore proper constitutional relationship; state and local officials are not agents of the federal
government. Reduce federal taxes and spending however states foot a higher share of the bill for
government services
 Clinton – the federal government is the policy guru and the states could experiment with vexing problems
 W. Bush – “compassionate conservative” address states rights’ in a tempered fashion. A move away from
the 1994 Republican scale back of government.
Ideology, Policymaking, and Federalism in Practice:
“Liberals love the national government” and “Conservatives favor states rights” -- These simplifications are only
sometimes correct and often misleading.
 National Intervention in State Functions – Preemption is a modern power. Preemption infringes upon
state powers in two ways: Mandates: requirement that a state undertake and activity and
Restraints: forbidding states from exercising certain powers.
 Constraining Unfunded Mandates – state and local governments have long objected to the national
government’s practice of imposing requirements without providing financial support. Republican led
104th Congress: unfunded Mandates Relief Act
 Ideology and Unfunded Mandates – Liberal or Conservative support for Federal mandates tends to
depend on the interaction of ideology and the purposes of government being considered.
”Federalism is largely a secondary value, overshadowed and often overwhelmed by other, more primary
goals. In short: Congressional voting is prompted by the underlying policy issue, not the principle of
Federalism.
***Federalism and Electoral Politics: How Federalism relates to the outcome of both state and national elections:
 National Capital–State Capital Links: State capitals often serve as proving grounds for ___________ who
aspire to national office. (Steve Austria). Four of the last six presidents have formerly served as
governors. A candidate for the White House can benefit from a friendly governor who can call into action
his own political network
 Congressional _____________ (Gerrymandering) – This process becomes an extremely high-stakes game
in the two years after each decennial national census (2012). State ____________ have the task of
drawing the lines that define congressional districts.
 ____________– complicated process which in essence requires that states show how their proposed
plans will not be “retrogressive in purpose or effect” (will not dilute minority voting strengths.)
***Federalism and the American Intergovernmental System – The Constitution only recognized national and
state governments, the American system has spawned a multitude of local governments as well.
 1000’s of governments: Local governments are created by state governments. Home Rule gives cities a
measure of self-government and freedom of action. County governments tend to have little or no
legislative power.
One theory is that local government brings the people ______ to government. In reality, people are much
____ _______ to vote in _____ elections than in the national election. Instead of bring government closer
to the people and reinforcing Majoritarian democracy, the system’s enormous complexity tends to
encourage pluralism.
 Crosscutting Responsibilities – __________ pressures on state and local governments are enormous. For
the first time in decades, state and local are raising taxes to pay for public services once the shared
responsibility of cooperative federalism. Sometimes a crisis press different levels of government into duty
together. (DC Sniper)
***Federalism and Pluralism – by recognizing the legitimacy of the states as political divisions, the federal system
also recognizes the importance of _________. The existence and cultivation of diverse interests are the hallmarks
of _________. Both of the main theories of federalism support pluralism:
 “Layer-Cake” of dual federalism: aims to maintain important powers in the states and protect those
powers from an aggressive national government. Preserving the variety at the state level allows the
people choice.
 “Marble Cake” of cooperative federalism: sees relations between levels of government in more fluid
terms and is perfectly willing to override state standards for national ones depending on the issue at
stake. By blurring lines of national and state responsibility, this encourages petitioners to try their luck at
whichever level of government offers them the best chance of success.