Chapter 3 Federalism: Division of Power Among National, State, and Local Governments © 2009, Pearson Education Fiorina, Peterson, Johnson, and Mayer New.

Chapter 3 Federalism: Division of Power

Among National, State, and Local Governments

© 2009, Pearson Education

Fiorina, Peterson, Johnson, and MayerNew American Democracy, Sixth Edition


The Federalism Debate: It’s Old but It’s New

Federalism — defined in terms of sovereignty– fundamental governmental authority

Federalism divides sovereignty between at least two different levelsU.S. — fundamental units– national government– state government


Federalism Debate: Old but New

Federal system—each fundamental level of government must have:– its own set of elected officials– its own capacity to raise revenues by

taxation– independent authority to pass laws

regulating the lives of its citizensLocal governments are not fundamental units in the U.S.Dillon’s Rule


Federalism in Context

Most countries have a unitary government– system under which all authority is held by

a single, national governmentFederalism is essential to the founding and growth of the U.S.– strong central government, but sovereignty

of the existing states preserved– allowed for entry into the union in an

orderly way– federalism helped the U.S. adapt to different

cultural and economic conditions.


Federalism and the Ratification of the Constitution

The Constitution, Tenth Amendment: “The powers not delegated to the United States by the Constitution, nor prohibited by it to the States, are reserved to the States respectively, or to the people.”


Federalism and the Ratification of the ConstitutionWeak government– Denied congress

general legislative power

– Gave states independent authority

– Guaranteed existing state boundaries

– 10th amendment reserved to the states and to the people all powers not delegated to the federal government

Strong government– Necessary and proper

clause– Supremacy clause

• the laws of the national government “shall be the supreme law of the Land.”


Constitutional Division of Power Between National and State Governments


The Evolution of the Federalism Debate

Issues raised during ratification campaign never truly disappearedDriving force of this continued debate:– Political conflict: those who would gain from

centralized powers and those who would benefit from local control

Supreme Court dealt with much of the conflictJudicial review: Court authority to declare laws null and void on the grounds that they violate the Constitution.


Dual Sovereignty and Nullification

Legal debate on federalism

Doctrine of dual sovereignty

─Theory of federalism: both the national and state governments have final authority over their own policy domains.

─An American invention

─Publius: division of power was the best way of preserving liberty

─Decreases probability of tyranny of the majority


Doctrine of Nullification

No serious consequences at firstMcCulloch v. Maryland—preserved the UnionBut later, circa 1828, John Calhoun claimed that states had power to nullify federal lawsControversy on tariffs that favored northern manufacturers- S.C. declared tariff null and void and threatened to

secede- Jackson said he would use military force - Compromise: Congress passed lower tariff and S.C.

agreed to pay it

Issue of Slavery• southern state right to secession• resolution: doctrine of nullification repudiated.

Dual Sovereignty and Nullification


The Supreme Court and the Meaning of Dual Sovereignty

Once the doctrine of nullification was laid to rest, the federal courts, not the states, had to decide the constitutional meaning of dual sovereignty

After Civil War: courts preserved state autonomy

1930s: shift to argue for broader national authority

1990s: a reassertion of states’ rights

- Use of the Eleventh Amendment: doctrine of state sovereign immunity


The Commerce Clause and Court-Packing

FDR and the New Deal– Use of the commerce clause

Supreme Court distinction between the two invalidated parts of Roosevelt’s program– Unterstate versus intrastate commerce

1936 landslide for FDR– Mandate to move against the Court– Court-packing plan– Many uneasy with increase in size of Court– Switch in time that saved nine

U.S. v. Lopez (1995)—Gun-Free School Zones Act


Necessary and Proper Clause

Gives Congress authority to “make all laws which shall be necessary and proper to carrying into execution”: the delegated powers

Clause examined during McCulloch v. Maryland

Has given Congress broad powers

But limited: New York v. U.S. (1992)

NIMBYs and unfunded mandates

– Doctrine of dual sovereignty revived


State Sovereign Immunity

11th Amendment explicitly restricts power of the national government

Mid-1990s: Divided Supreme Court used it to

– Reinforce the concept of state sovereign immunity

– Legal doctrine that says states cannot be sued under federal law by private parties

Indian Gaming Regulatory Act of 1988

Americans with Disabilities Act of 1990

Cruise line and state port of Charleston (2002)

11th Amendment and states being sued under FMLA (2003)


Cooperative Federalism

Congressional power to tax and spend provides the constitutional basis for theory of cooperative federalism (marble cake federalism)

– All levels of government can work together to solve common problems

Spending clause

– Gives Congress the power to collect taxes to provide for the general welfare


History of Federalism


A Government of Shared Functions

Grodzins: all levels of government should work together because– Cooperative federalism is democratic– Compromises are reached among officials

elected by different constituencies– Professional administrators usually share

many values, no matter what level of government they work for

Intergovernmental grantsPork barrel projects


Categorical Grants

Federal grants to a state or local government that impose programmatic restrictions on the use of funds– War on Poverty (Johnson’s Great Society)

• designed to enhance the economic opportunity of low-income citizens


Categorical and Block Grants



Problems of Implementation

Implementation: the way in which grant programs are administered at the local level.Are grant programs effective? Some say no. Here’s why:– National and local officials serving different

constituencies, often block and check one another

– When many participants are involved, delays and confusion are almost inevitable

– Federal policy makers often raise unrealistic expectations by using exaggerated rhetoric



Block Grants

Intergovernmental grants with a broad set of objectsLess complicated than categorical grantsAdvocated by Republicans– Nixon: general revenue sharing– Reagan: block grants and public health

programs– Congress 1994: welfare became block grant

that gave states broad discretion


The Contemporary Debate

Now: Republicans support categorical grants that support their policy agenda.– For example: No Child Left Behind Act

(2001)Unfunded mandates– Federal regulations that impose burdens on

state and local governments without appropriating enough money to cover costs

– Republican candidates favor devolution (a return of governmental responsibilities to state and local governments)

– Devolution• return of governmental responsibilities to

state and local governments



Local Government

Plays a more prominent role in the federal system today than in the recent past

State and local taxes fund a large proportion of all domestic government expenditures


The Number and Types of Local Governments

Over 74,000 in 2002Up from 46,000 in 1942County = the basic unit– Manage school systems, welfare programs,

local roads, sanitation, sheriff, etc.– Often divided into townships– Many municipalities in urban areas—nearly

20,000– Special districts—more than 35,000 (specific

function)



Local Elections

Near invisibility of local elections helps reduce local participation rates

Newspaper coverage haphazard

Often do not coincide with other elections

Oversee national elections

– county boards of election

– controversy in Florida in 2000

– 2002 Help America Vote Act


Popularity of Local Government

Local government remains very popularPeople trust their local officials– Can vote with their feet


Limits on Local Government

Often do not have the resources to meet the needs of the poor, sick or disabled

– Local governments on average spend only about 10.5 % of their budgets on social programs

Compete with one another to attract businesses

– Can end up with cutthroat bidding wars

– Even compete to secure or retain professional sports teams


State GovernmentMost states have two chamber legislatures (except Nebraska)All states have multi-tiered court systemEach state has an independently elected governorBut they do vary– Legislatures vary in size– When they vote varies– How executive officers outside of

governor are chosen varies– State policies vary, as well

Laboratories of democracy– Variations in state political cultures


State Elections

State elections resemble national elections

Same two political parties dominate

– A trend toward competitive politics and divided government has developed in most states

– Democrats have had the advantage in state legislative races

– Republicans have more often won gubernatorial races

Why do you think this is the case?


Variation in State Government ResponsibilitiesThe size and range of state responsibilities

have grown dramatically in recent decades

State expenditures have increased

- heavy burden of funding elementary and secondary education, as well as state colleges and universities

- maintain state parks, highways systems, prisons

- manage welfare and Medicaid programs

- provide grants to local governments to help pay for police, fire, and other services

Varies by state; politics play a role as well


Recent Developments at the State Level

State Financial CrisisState political institutions have become more modern– Reapportionment– Professionalization

Role of governor has grown– Presidential hopefuls

States have begun to develop their own economic policies– Trade missions

Chapter 3 Federalism: Division of Power Among National, State, and Local Governments © 2009, Pearson Education Fiorina, Peterson, Johnson, and Mayer New.

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