Chapter 4 - Federalism

Federalism: Overview and Core Concepts

• Does federalism matter? The implication is that federalism shapes policy outcomes and governance; the idea is that the distribution of power between national and state governments affects many policy areas.
• The basic claim: Which state you live in matters because state governments have autonomous powers and can diverge from other states on key policies (education, taxes, criminal law, social policy, etc.).

Direct Democracy in the States

• Some states permit ballot measures in odd years.
• Tools include initiative and referenda.
• Variants of initiatives:
  • Initiative and referenda (both petition-driven and voter-approved measures):
  • Some states allow advisory initiatives only.
  • Different states allow:
  • Initiative constitutional amendments and initiative statutes (advisory only) - or
  • Initiative constitutional amendments only.
• These instruments enable voters to directly shape or challenge law without legislative approval in certain contexts.

Expenditures on Education by State (FY 20) and National Benchmark

• A national map displays current expenditures per pupil for public elementary and secondary education, by state, for FY 20.
• The U.S. national average expenditure per pupil:
  • $ext{U.S. National Average: } 13489$
• Expenditure categories (by state, color-coded on the map):
  • Less than $9{,}000$
  • $9{,}000$ to $10{,}999$
  • $11{,}000$ to $12{,}999$
  • $13{,}000$ to $14{,}999$
  • $15{,}000$ or more
• Note: The list includes a wide range of states across the country; the map communicates disparities in per-pupil funding across states.

States’ Reproductive Rights: Ratings by NARAL Pro-Choice America

• NARAL Pro-Choice America graded states on reproductive rights based on access to contraception and abortion.
• Result: 19 states received a failing grade on reproductive rights.
• Grades used: A, B, C, D, F (with D.C. and AP cited among sources).
• Source: NARAL Pro-Choice America.

Gasoline Taxes by State

• Gasoline taxes vary significantly by state, and include the federal component of $18.4$ cents per gallon.
• State gasoline taxes (as of April 26, 2006) range from about $8.0$ to more than $40$ cents per gallon, with some states over $40.0$ cents and others well below.
• The map categorizes state taxes into ranges:
  • 8.0–20.0 cents
  • 20.1–30.0 cents
  • 30.1–40.0 cents
  • More than 40.0 cents
• Examples (illustrative values across states include figures such as 31.0, 20.6, 27.4, 27.8, etc.; actual state values vary).
• Note: The data sources include the American Petroleum Institute and the Energy Information Administration.

Marijuana in the States: Status by State

• A map shows a spectrum of legality, including:
  • Legal for adult recreational use in some states (e.g., Washington, Colorado, etc.).
  • Legal for medical use only in many states.
  • No program for legal THC status in others.
  • Status can be:
  • LEGAL FOR ADULT RECREATIONAL USE
  • LEGAL FOR MEDICAL USE ONLY
  • NO PROGRAM FOR LEGAL THC STATUS
  • STATUS PENDING
• The slide deck lists many states under each category, illustrating the patchwork of laws across the U.S.

Federalism and Marijuana: National vs. State Policy Tensions

• States are increasingly legalizing cannabis in various forms, creating a billion-dollar industry while federal prohibition persists.
• Consequences include: some participants profit from production and sales while federal law enforcement still prosecutes similar activities elsewhere.
• Federal prohibition creates friction with state programs and private sector activities.

Why the Federal Government Has Not Fully Enforced Federal Marijuana Laws

• Public opinion: nearly 70 ext{%} of Americans approve legalization.
• With legalization in $37$ states (medical and recreational), enforcement of federal marijuana laws is increasingly impractical.
• Federal resources to enforce drug laws are limited; priorities and political considerations influence enforcement decisions.
• Recent presidents have chosen not to aggressively enforce federal marijuana prohibitions in the face of broad state-level legalization.

Georgia and Marijuana: State-Specific Context

• Possession of marijuana is illegal in Georgia.
• Some Georgia counties have decriminalized possession of an ounce or less.
• Low-THC oil is available for medical purposes; plans to distribute it via pharmacies faced federal resistance, with the federal government notifying pharmacies they could face arrest or fines if they participated.

The Framers and Federalism: Historical Rationale

• The Framers rejected a unitary system where all power is centralized.
• They also rejected a pure confederation with power fully decentralized among states.
• They created a new political form: federalism, designed to combine features of a confederacy with features of a unitary government to balance fears about centralized power.

What Federalism Is: Definition and Core Idea

• Federalism is the division of power between a central government and regional governments.
• Two or more governments exercise power and authority over the same people and territory.

Constitutional Powers: Delegated, Reserved, and Concurrent

• Delegated (Expressed) Powers: powers expressly granted to the national government.
  • Examples include those enumerated powers and implied powers inferred from express powers.
• Reserved Powers: powers not assigned to the national government and left to the states or the people (10th Amendment).
  • Includes police powers to regulate health, morals, public safety, etc.
• Concurrent Powers: powers shared by both national and state governments.

The Division of Powers in the Federal System

• National powers (examples):
  • Declare war
  • Make treaties and conduct foreign relations
  • Coin money
  • Regulate interstate commerce and commerce with foreign nations
  • Raise and support armies and navy
  • Create courts inferior to the Supreme Court
  • Make laws necessary and proper to carry out these powers
• State powers (examples):
  • Taxes
  • Regulate intrastate commerce
  • Road construction and maintenance
  • Public health, safety, morals, and welfare
  • Electoral district drawing and elections
  • Create districts for local rule
  • Exercise police powers to protect health, safety, morals, and public welfare
• Shared/Concurrent: Taxation, building and maintaining infrastructure, etc.

How Does (Should) Federalism Work?

• A key question guiding the study of federalism: how to balance national standards with state flexibility; tensions between experimentation and national uniformity.

Theories of Federalism

• Dual Federalism (pre-Civil War) – Layer-cake metaphor: clear, distinct, separate spheres of state and national powers.
• Cooperative Federalism (post-Civil War) – Marble-cake metaphor: national and state powers are intermingled and joint action is common.
• Both are ideal types describing the relationship between federal and state governments in the U.S.

Metaphors for Federalism: Layer Cake vs Marble Cake

• Dual Federalism (Layer-Cake): Citizens see clearly separated, non-overlapping domains for state vs. national powers.
• Cooperative Federalism (Marble-Cake): Powers, functions, and responsibilities are mixed across levels of government.

Elastic Clause and Theories of Federalism

• A critical difference between dual and cooperative federalism is how the Elastic Clause is interpreted:
  • Dual federalism tends to interpret it strictly, limiting national power.
  • Cooperative federalism views it as flexible, enabling broader national authority when needed.

Judicial Interpretation and Federalism

• Federal courts’ interpretations of the Constitution and federal laws powerfully shape federalism.
• Supreme Court rulings have oscillated between prioritizing states’ rights and empowering the national government.

Early Judicial Landscape and Shifts

• Early rulings supported strong national government (Nationalist interpretation):
  • McCulloch v. Maryland (1819)
  • Gibbons v. Ogden (1824)
• Around 1836, decisions began to favor states’ rights (states’ rights position):
  • Dred Scott (1857)
• The Great Depression shifted the Court back toward nationalist interpretations.

Evolution of Cooperative Federalism

• Congress expanded the reach of the national government through enumerated powers and a broad interpretation of the Elastic Clause, especially during national crises.
• Reconstruction expanded federal authority with Civil War amendments.
• The New Deal redefined the scope of government responsibilities.
• The Patriot Act later expanded government powers.

Evolution of Cooperative Federalism: Civil Rights Era

• National government promoted racial equality, often at the expense of state power:
  • Brown v. Board of Education
  • Civil Rights Act of 1964
  • Voting Rights Act of 1965
• Lyndon Johnson’s War on Poverty expanded federal involvement in social programs.

Federalism Today

• The system resembles cooperative federalism: the national government often delegates administrative responsibilities to the states, with cooperation rather than strict dualism.

Money, Money, Money: Fiscal Federalism and Grants

• Congress uses spending power to incentivize state action:
  • Categorical grants: come with specific rules and regulations for fund use (e.g., SNAP, Medicaid, highway funds).
  • Block grants: funds with fewer strings attached, giving states more discretion (e.g., Community Development Block Grants, TANF, many COVID grants).
• Examples:
  • SNAP (Supplemental Nutrition Assistance Program) funding
  • Medicaid funding
  • Highway funds
  • TANF (Temporary Assistance for Needy Families)
• The overall pattern: federal dollars steer state policy through funding conditions.

Unfunded Mandates

• Congress can require states to implement policies without providing funds:
  • No Child Left Behind required increased testing but provided no funding for implementation.
  • REAL ID Act required states to upgrade driver’s licenses for security, but states bore the cost.

Advantages and Disadvantages of Federalism

• Advantages:
  • Policy experimentation across states addressing diverse needs
  • Innovation and experimentation at the state level
  • Disperses power, reducing concentration of political power
  • Can enable policy divergence in line with regional preferences (e.g., sanctuary policies in liberal states vs. conservative policies elsewhere).
• Disadvantages:
  • Dispersed power can hinder national mandates on civil liberties and civil rights
  • Financial inequalities among states lead to different levels of program quality and access (education, healthcare, etc.)

Ideology and Federalism: Liberalism

• Liberals are associated with cooperative federalism, favoring a strong national government to address economic and civil rights needs (e.g., Depression-era reforms).
• Liberal stance has shifted over time in response to conservative policies they dislike.
• Blue states have used federalism to pursue policies like marijuana legalization (despite federal bans), tougher auto emissions standards to address climate change, and sanctuary policies for immigration.

Ideology and Federalism: Conservatism

• Conservatives tend to favor dual federalism (states’ rights) and a limited national government, arguing states should determine policy in many domains.
• Yet conservatives have supported national standards when politically advantageous (e.g., same-sex marriage in the 2000s, national abortion debates, immigration policy debates during the Trump era).

Summary of Key Concepts and Relationships

• Federalism is a dynamic, evolving division of power between national and state governments, characterized by:
  • Delegated, reserved, and concurrent powers
  • The elastic clause and its interpretation (strict vs flexible)
  • Judicial interpretation shaping the balance of power
  • The shift from dual to cooperative federalism and back in various historical contexts
• Monetary incentives (grants) and mandates significantly influence state policy choices, sometimes creating disparities in outcomes across states.
• Public opinion and political context heavily influence the enforcement of federal policy at the state level, particularly in areas like marijuana legalization.

Formulas and Numerical References (LaTeX)

• U.S. National Average expenditure per pupil (FY 20): $13489$
• Federal gasoline tax: $18.4\%\text{ (per gallon)}$
• State gasoline tax ranges (as of 2006-04-26): $8.0\text{ to } 62.9\text{ cents}$ per gallon
• Percentage of Americans who approve legalization (approx.): $70\%$
• States with legalization status (medical/recreational): $37$ states have some form of legalization
• National grants examples (categorical vs block): cite ongoing programs like SNAP, Medicaid, TANF, etc. (no single numeric value unless specified)

Key Connections to Foundational Principles

• Federalism reflects the tension between unity and regional autonomy that underpins the structure of the U.S. Constitution.
• The Elastic Clause provides a mechanism for national power expansion in response to national needs, particularly during crises.
• The balance between national standards and states’ rights affects civil rights, social welfare, and public policy outcomes.
• Public policy in the U.S. is shaped not only by constitutional design but also by political dynamics, judicial interpretation, and fiscal incentives that steer state action.

Real-World Relevance and Implications

• Education funding disparities influence student outcomes and access to resources across states.
• State-level reproductive rights protections or restrictions reflect a broader debate about rights and governmental authority.
• Tax and fiscal policies at the state level can create varying economic environments and influence mobility, cost of living, and investment.
• Marijuana legalization illustrates the friction between state experimentation and federal prohibition, with implications for research, banking, interstate commerce, and regulatory enforcement.
• Federal mandates without funding (unfunded mandates) raise questions about fiscal responsibility and state autonomy.