ORIGINS OF AMERICAN FEDERALISM I. Federalism: constitutional division of power between the national government and state governments
II. Reasons for federal system in U.S.
A. Unitary system undesirable – too reminiscent of British rule
B. Confederate system undesirable – too reminiscent of Articles
C. Allows unity, not uniformity – allows differences among states
D. More suitable for geographically large nation – allows for differences
E. More suitable for heterogeneous people – allows for differences
F. More likely to check tyranny:
1. If tyranny occurred in a few states, federal government could prevent its spread to others
2. National government has only those powers granted to it — all others belong to states through Amendment 10
G. Frees national government to concentrate on truly national matters
H. Frees states from excessive intrusion on strictly state/local matters (but discuss problem of growth of federal mandates, and especially unfunded mandates)
I. Encourages experimentation – states a “laboratories” (Wisconsin’s welfare reform plan)
J. Keeps government closer to people – Multiple points of access for citizens
III. Historical developments
A. Dual federalism
1. State governments and national government each remained supreme within their own spheres
2. Powers and policy assignments of the layers of government were distinct, as in a layer cake
3. Suggested that the powers of the national government should be interpreted narrowly
4. Prevalent through – 1937
B. Cooperative federalism
1. Sharing responsibilities between state and national government
2. Sharing powers & policy assignments, like a marble cake
3. Suggests that powers of the national government should be interpreted broadly
4. Prevalent since - 1937
STRUCTURE OF AMERICAN FEDERALISM I. National Powers
A. Delegated (expressed, enumerated): actually stated in the Constitution
B. Implied: not stated explicitly, but suggested implicitly, Importance of elastic clause
C. Inherent: not stated explicitly, but held by the national government by virtue of its being a national government, Any government is entitled to certain foreign policy powers such as diplomatic recognition, acquiring territory, or defending itself)
II. State Powers: Reserved
A. Amendment 10 states that any powers not granted to the national government are reserved for the states
B. Examples: establishing voting requirements, running elections, licensing professionals, protecting community health, establishing a vehicle code
III. Concurrent Powers
A. Granted to Congress, but not denied by Constitution or courts to the states >> held by both national and state governments
B. Examples: taxing, borrowing, establishing court system, and establishing law enforcement agencies
C. Questions of federal/state authority are decided by courts
IV. National supremacy (Article VI): national government supreme in case of conflict
V. Obligations of national government
A. Guarantee each state a republican form of government
B. Protect each state against invasion or domestic violence
C. Grant new states the same rights as other states
VI. Obligations of state governments
A. Full Faith and Credit clause: each state must honor the laws and legal proceedings of other states, (marriages, debts)
B. Privileges and Immunities clause: each state must grant to citizens of other states the same rights and privileges that they grant to their own citizens; (states cannot unreasonably discriminate against citizens of other states).
C. Extradition: Governors must return suspects to the states in which they allegedly committed their crimes
D. Interstate compacts require consent of Congress
AMERICAN FEDERALISM
STATES’ RIGHTS V. NATIONALIST APPROACH
I. States’ Rights approach
A. Constitution a compact created by states >> implications
B. Constitution carefully limits national authority to delegated powers
C. 10th Amendment gives broad powers to states
D. When in doubt as to which holds a power, matter should be resolved in favor of states
E. Implies strict constructionist approach
F. National government has gotten too big and impersonal
G. State governments Are closer to the people
H. Followers: Calhoun, Goldwater, Reagan, southern conservatives, western conservatives
II. Nationalist approach
A. Constitution created by people (“We the people...”)
B. Elastic, commerce, and taxing/spending clauses give great power to national government
C. Powers go to states only if they have been surrendered by national government
D. When in doubt, matter should be resolved in favor of national government
E. Implied loose constructionist approach
F. Size of bureaucracy has remained constant for last 40 years
G. While state govt’s may be closer to people, some of those state governments have violated people’s basic rights (South during first 70 years of this century) – national government has been key protector of rights
H. Followers: Hamilton, Marshall, Webster, TR, FDR, JFK, LBJ
III. Triumph of nationalist approach: McCulloch v. Maryland, 1819
A. Maryland attempted to tax a branch of the Bank of the U.S.:
1. It argued that taxing was one of its reserved powers
2. In addition, it argued that the Bank was unconstitutional, anyway
B. The Court’s decision (under Marshall):
1. Need for more flexible interpretation of the Constitution so that it would endure >> Bank was “necessary and proper” >> establishment of implied powers
2. “Power to tax involves power to destroy” >> states clearly not free to destroy the national government >> establishment of national supremacy
IV. Sources of national strength
A. Elastic clause
B. War powers
C. Commerce clause
D. Power to tax and spend >> federal “strings” attached to grants
E. Preemption of state laws by federal courts if laws in conflict with Constitution or federal laws
V. Recent developments
A. Nixon’s “New Federalism:” returning some power back to states also favored by Reagan.
B. Republican victory in Congress Elections of 1994 >> Contract with America and devolution of power back to states:
1. Prohibited future unfunded mandates
2. Use of block grants to replace categorical grants
3. 1996 welfare reform bill that ended welfare as federal entitlement
4. Repeal of 55 m.p.h. speed limit
FEDERALISM AND FEDERAL GRANTS I. Purposes of federal grants
A. Reduces growth of federal bureaucracy >> federal government Simply provides money to states and has states run the programs (under federal guidelines, of course)
B. Supplies state and local governments with needed revenue
C. Establishes minimum federal standards in important areas (air quality, water quality)
D. Equalizes resources among rich and poor states
II. Types
A. Categorical
1. Specific programs
2. States don’t have to accept these, but if they do they must comply with federal standards
B. Project
1. States apply for grants for specific projects
C. Block.
1. Granted to support a collection of general programs >> more state leeway in spending of the money
2. Associate these with 104th Republican Congress and devolution of power back to states
D. Revenue sharing
1. General grant of money to states to spend as they please >> even more leeway than block grants
2. Associate these with Nixon and Reagan – more New Federalism
3. As budget deficits skyrocketed, these ended – “no more revenue to share”
E. Analysis of these types of grants from states’ rights and nationalist approaches
POLITICS OF AMERICAN FEDERALISM I. Non-constitutional reasons for triumph of nationalist approach.
A. Growth of U.S. in size and population >> large problems only national government could handle.
B. Problems tend to be more national (and even international) in scope, e.g., interstate cooperation on a problem such as air pollution tends to be more effective than unilateral action by a single state.
C. Improved communication and transportation – Washington D.C. not so far away.
D. Historical developments (New Deal, WWII, Great Society) created huge bureaucracies and constituencies to support a strong federal government
II. Reaction against big government.
A. Consensus in late 70s: power of government had gone too far B. 3 “outsiders” (Carter, Reagan, Clinton) elected as President
C. Questionable effectiveness of some federal programs
D. Tax revolt
E. Reduction of Great Society-style federal aid to cities – principle that states should take on more responsibilities:
1. Elimination of revenue sharing
2. Reduction of categorical grants.
3. Increased use of block grants
4. Reduction of federal regulations, (granting of waivers to states that want to experiment with welfare reform)
5. End to future unfunded mandates as part of Contract with America
III. Effects of New Federalism
A. States have greater power, but also greater financial burdens
B. Some states have had to raise taxes to keep up with these burdens
C. While federal employment has remained flat, state and local government employment has gone up considerably
D. Development of new, dynamic, governors (Thompson of Wisconsin, Ridge of Pennsylvania, George W. Bush of Texas, Jeb Bush of Florida, & Arnold Schwarzenegger of California) who have embraced devolution.