Federalism
•
Chapter
Objectives
Explain the difference between federal and centralized systems of government,
and give examples of each.
• Show how competing political interests at the Constitutional Convention led to
the adoption of a federal system that was not clearly defined.
• Outline the ways in which national and state powers have been interpreted by
the courts.
• State the reasons why federal grants-in-aid to the states have been politically
popular, and cite what have proven to be their pitfalls. Distinguish between
categorical grants and block grants.
• Distinguish between mandates and conditions of aid with respect to federal
grant programs to states and localities. Discuss whether or to what extent
federal grants to the states have created uniform national policies comparable
to those of centralized governments.
• Evaluate the effect of devolution on relationships between the national and
state governments. Assess its implications for citizens as taxpayers and as
clients of government programs.
Governmental Structure
• Federalism: a political system where local
government units can make final decisions
regarding some governmental activities and
whose existence is protected
• Unitary System: local governments are
subservient to the national government
Figure 3.1: Lines of Power in Three
Systems of Government
Figure 3.1: Lines of Power in Three
Systems of Government
Figure 3.1: Lines of Power in Three
Systems of Government
Positives and Negatives of Federalism
• Negative view: Federalism blocks progress and
protects powerful local interests
• Positive view: Federalism contributes to
governmental strength, political flexibility, and
fosters individual liberty
– Federalist #10: small political units allow all
relevant interests to be heard
– Federalism increases political activity
THEME A: WHO GOVERNS WHAT?
FEDERALISM AND CONSTITUTIONAL LAW
Federalism: A Bold New Plan
• No historical precedent
• Tenth Amendment was added as an
afterthought to clarify the limits of the
national government’s power
• Elastic language in Article I: Necessary and
Proper Clause expands federal power
McCulloch v. Maryland
• Could Congress charter a national bank?
Yes, even though this power is not explicitly
in the Constitution (Necessary and Proper
Clause)
• Could states tax the national bank? No,
because “the power to tax is the power to
destroy”
Nullification
•Do States have the right to declare federal laws unconstitutional?
•Settled by the Civil War.
Federalism Over Time
• Dual federalism: Both national and state
governments are supreme in their own spheres,
which should be kept separate
– Particular state issues: law enforcement and education
• Hard to make distinctions between state and
federal spheres; distinctions between them were
blurred
• But Supreme Court has strengthened states’
rights in several recent cases
– US v Lopez--guns in schools
– US v Morrison--Violence Against Women Act
– Printz v. US--background checks on gun purchasers
THEME A: DISCUSSION QUESTIONS
• Historically power has flowed to the central
government. What reasons exist for the states to
continue exercising independent power? Given
the Supreme Court’s decision in McCulloch, what
prevents the central government from assuming
legal authority over any area of public policy?
• Why doesn’t the federal government always
intervene when states defy its authority?
• Certain areas in Nevada permit prostitution, nine
states have legalized the use of marijuana for
“medical purposes”; Massachusetts has legalized
same-sex marriage. Could the federal
government legally intervene to forbid such
practices in these states? Explain why or why
not?
THEME B: WHO GOVERNS NOW?
THE CONTEMPORARY POLITICS OF FEDERALISM
Grants in Aid
• Dramatically increased in scope in 20th
century
-grants were a way for federal
government to circumvent strict
constructionist reading of federal power.
• Grants were attractive to state officials for various
reasons
• Required broad congressional coalitions with
wide dispersion of funds, because every state
had incentive to seek grant money
Categorical Grants v. Revenue Sharing
• Categorical grants for specific purposes defined
by federal law; often require local matching funds
• Block grants (sometimes called special revenue
sharing or broad-based aid) devoted to general
purposes with few restrictions—states preferred
block to categorical grants
• Revenue sharing (sometimes called general
revenue sharing) requires no matching funds and
can be spent on almost any governmental
purpose
Figure 3.2:
The Changing
Purpose of
Federal
Grants to
State and
Local
Governments
Why the
change?
Budget of the U.S. Government, Fiscal Year 2005, table 12.2.
Figure 3.3: Federal Grants to State and
Local Governments, 1984-2004
Budget of the U.S. Government, Fiscal Year 2002, Historical Tables, table 6.1, and Budget of the U.S.
Government, Fiscal Year 2005, table 12.1.
Federal Aid and Federal Control
• Conditions of aid: tell state governments
what they must do if they wish to receive
grant money
• Mandates: federal rules that states or
localities must obey, generally have little or
nothing to do with federal aid
– Civil rights
– Environmental protection
Devolution
• Devolution initiatives returned program
management to the states, with some
federal guidelines, but there is no
guarantee of federal support
• Block grants fund entitlements
The Devolution Revolution
• Devolution proponents harbor a deep-seated
ideological mistrust of federal government and
believe that state governments are more
responsive to the people
• Deficit politics encouraged devolution
• Devolution is supported by public opinion, but the
strength of that support is uncertain
– Case Study: AFDC to TANF (Welfare)
Congress and Federalism
• Members of Congress represent conflicting
constituencies
• The erosion of parties increases political
competition
• Americans differ in the extent to which we
like federal versus local decisions
THEME B: DISCUSSION QUESTIONS
• Does the system of grant-in-aid upset the balance of federalism? Do
grant programs enable Congress to dow what it pleases by bribing
states into compliance? Or do these programs merely increase the
likelihood of national policy uniformity? What would be the
consequence if a state refused federal grant money?
• To what extent have interest groups produced grants-in-aid, and to
what extent have grants-in-aid produced interest groups? Who
constitutes a governmental lobby?
• How and why do conservatives and liberals differ over giving aid to
the states without conditions?
• Why can’t federal agencies attack complex problems by producing
and implementing a coherent systematic policy? Why don’t (can’t)
federal bureaucrats issue orders where necessary?
• Does the recent push toward devolution give states too much power?
Issues connected to federalism
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Gay Marriage
Medicinal Marijuana
Civil Rights
Education
Bush v. Gore
Electoral College