1 Constitutional Underpinnings
4 Federalism
4 FEDERALISM
This episode corresponds to Chapter 4 in The Challenge of Democracy.
OBJECTIVES
17. Compare and contrast two theories of federalism used to describe the
American system of government.
18. Identify and explain each of the four forces that stimulate changes in the
relationship between the national and state governments.
19. Describe the role of ideology in shaping federalism.
20. Describe the influence of federalism on elections at the state and
national levels.
21. Describe the role of local government in a federal system and illustrate
how national, state, and local governments sometimes interact.
23. Discuss the changing relationship between federalism and pluralism.
XVII. Theories and Metaphors
A. Federalism: Two or more governments have power in same
territory; the powers are either exclusive or shared. There are 2
common representations:
1. Dual federalism
2. Cooperative federalism
B. Dual Federalism
1. National government rules by enumerated powers
2. National government has limited set of constitutional purposes
3. Each government unit is sovereign within its sphere
4. Relationship between nation and state characterized by
tension
5. States’ rights: primary importance; Rights not specifically
conferred on national government reside with the states
6. Ꮤ
7. Implied powers
C. Cooperative Federalism
1. Overlap between national and state government functions; it
rejects idea of separate spheres/layers
2. Ꮤ
3. Elastic (necessary and proper) clause – basis for Congress’s
implied powers
D. Comparing Theories: the Elastic Clause and the 10th Amendment
can be interpreted differently, Ꮤ
1. Dual federalism interprets elastic clause strictly and Tenth
Amendment widely
2. Cooperative federalism views elastic clause flexibly and Tenth
Amendment as an obvious truth
XVIII. Federalism’s Dynamics
A. Debate: Balance of Power Between Nation and States
1. Ꮤ
2. Decision making based on politics and policy goals rather than
theory or ideology
3. Growing recognition that public problems cut across
governmental boundaries
B. Four Forces Prompt Changes in Relationships Between National
Government and States
1. National Crises and Demands
a. Congress has increased scope of national government
through both Ꮤ
b. Greatest changes: during crises and emergencies
1) Civil War, world wars, Great Depression, 9/11 and
2008 recession
2) Example: USA Patriot Act expanded government’s
powers to fight terrorism.
c. Role of national government has grown to meet needs
state and local governments were unwilling or unable to
meet.
2. Judicial Interpretation
a. Federal courts’ interpretations of Constitution and
federal laws influence relationship between nation and
states.
b. Supreme Court rulings Ꮤ
c. Since 1995, a conservative Supreme Court has tended
to favor states’ rights with some exceptions.
d. Ends and means – expanded the role of national
government. “Let the end be legitimate, let it be within the
scope of the Constitution, and all means which are
appropriate, which are plainly adapted to that end, which
are not prohibited, but consist with the letter and spirit of
the constitution, are constitutional.”—Chief Justice John
Marshall, 1819, McCullough v. Maryland
1) Commerce clause – Congress has the power to
regulate commerce among the states
2) Key decisions:
a) McCullough v. Maryland (1819); Ꮤ
b) Gibbons v. Ogden (1824); the interstate
commerce clause may extend within states
c) Dred Scott decision (1857); SCOTUS swung
the other way—that the fed. gov’t had its limits
e. Umpire strikes back
1) 1990s U.S. Supreme Court decisions: Ꮤ
a) United States v. Lopez (1995); limiting
Congress’ control of guns in schools
b) Printz v. United States (1997); limiting
Congress’ mandate of background checks
2) Federalism’s shifting scales
a) Violence Against Women Act; the
constitution distinguishes between state & fed
b) Bush v. Gore; the fed gov’t can limit the
power of states
c) Death penalty cases; while death penalty is
state issue, Ꮤ
3. Grants-in-Aid
a. Money provided Ꮤ
b. Categorical grants
1) Formula grants
2) Project grants
c. Block grants
d. Grant money – strings attached
4. Professionalization of State Governments
a. Since 1960s, Ꮤ
b. Internal changes fostered capabilities
1) More experienced staff
2) Legislatures meeting more often and elected
officials receive higher salaries
3) Increased ability to raise revenue
4) Most professional and service occupations require
college degree
c. Changes in national policy help states develop
capabilities
1) Elementary and Secondary Education Act (ESEA)
2) Title V – several provisions strengthened state
departments of education
3) ESEA’s revision - No Child Left Behind Act
d. Changes in state governments’ abilities = new demands
by public
XIX. Ideology, Policymaking, and American Federalism
A. The textbook refers to American federalism as a “system in
motion”, mostly as a result of policy entrepreneurs, the citizens,
members of interest groups, or public officials who promote particular
policy ideas. The system is set up to allow many opportunities for
many people to push their ideas at different levels.
B. Ideology, Policymaking, and Federalism in Theory
1. Conservatives tend to favor Ꮤ
a. Different states have different problems/resources
b. Returning control to states would promote diversity.
They argue: states can experiment with alternative ways
to deal with the problems, compete with each other, and
people could choose the state government they prefer by
“voting with their feet” and moving to a new state. Also,
states are closer to the people and can respond to specific
local needs, whereas the national government
overregulates, wants too much uniformity, and is too far
from the people to govern everything effectively.
2. Liberals tend to favor Ꮤ
a. States unwilling or unable to protect the rights or
provide for the needs of citizens
b. States’ rights model allowed extreme political and social
inequities. They argue: states are either unwilling or
unable to protect rights and serve needs of their citizens in
protection from business interests, defending the rights for
due process of law, or for the poor seeking a minimum
standard of living. Therefore, the states cannot be trusted
to do this effectively.
C. Ideology, Policymaking, and Federalism in Practice
1. National intervention in state functions: preemption, mandate,
restraint, coercive federalism. The power of Congress to enact
laws where the national government assumes complete or partial
responsibility for a state function Ꮤ
2. This limits the powers of states—either completely, like how
Congress prohibits state or local taxation of the internet, or
partially, which sets up standards for states if they choose to get
involved, like states who chose to adopt “Common Core”
standards in education.
a. Mandates are requirements that a state undertake an
activity or provide a service in keeping with minimum
national standards, such as requiring states to keep
drinking water clean. A restraint prevents states from
exercising some powers, like prohibiting them from
dumping trash into the ocean as their landfill (states
actually did that—W).
b. Some argue that as the national government has taken
a larger role, it cooperates less with states—moving the
model from “cooperative federalism” to Ꮤ
3. Constraining unfunded mandates
a. Pace of unfunded mandates increasing
b. Unfunded Mandates Relief Act of 1995
XX. Federalism and Electoral Politics
A. National Capital – State Capital Links
1. Experience at state level: Builds network contacts, die-hard
constituents, and potential fundraisers
2. State governors benefit from national affiliations: Gain name
recognition, friendships, Ꮤ
3. National level politicians help campaign for local favorites
B. Congressional Redistricting
1. U.S. House seats reapportioned after census
2. State and local districts are redrawn Ꮤ
3. 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
XXI. Federalism and the American Intergovernmental System
A. In addition to national and state, U.S. has over 89,000 local
governments
1. Municipal governments
2. County governments
3. School districts
4. Special districts
5. Home rule
B. Crosscutting Responsibilities
1. Ꮤ
2. Enormous spending pressures on state and local government
3. Economic downturn - tax revenues not matched to state
expenditures
4. Responses to crises bring different levels of government
together, leading to turf battles
XXII. Federalism and Pluralism
A. The Framers feared a far-off government ruling over people that the
people did not know and did not represent them, Ꮤ
1. Dual federalism (layer-cake) maintains powers in the states to
protect those powers from an aggressive or assertive national
government.
2. Cooperative federalism (marble-cake) is more fluid, overriding
state standards for federal ones. While it runs over the power of
state controls, it also allows for more inputs into government—
making it more pluralistic.
C. But as the national government relies on regulatory power to shape
state policies, it shifts from a pluralist to a majoritarian model, Ꮤ