Federalism – There is not “a” government
National – State (Regional) Relationships
•Unitary
•Federal
•Confederate
Federalism is Federal-State ONLY
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Each US State is unitary
State create, and can eliminate, cities, counties, and special districts.
Why Federalism?
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Founders Faced
– Little national identity – state/colony focus
– Little national travel or communication
– Fear of far-away power
• First choice was a confederacy
– Provided another control on power of new national government over and above separation of
powers / checks & balances
Federalism – Original Design
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Governing powers divided into
– Delegated
– Concurrent
– Reserved
State Powers
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Exist, but are not spelled out anywhere
Amendment #10
– “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.”
Some claim this is a meaningless truism:
– States have whatever power the federal government does not take
Protection of state power is partially constitutional
But more importantly political
– The U.S. Senate represents the states
– House members are selected by state
Other Inter-Governmental Relationships
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National Supremacy Clause, Article 6, Clause 2:
The laws of the United States which shall be made in pursuance (of powers delegated to federal
government), and all treaties made . . . . under the authority of the United States, shall be the
supreme law of the land; and the judges in every state shall be bound thereby, any thing in the
Constitution or laws of any state to the contrary notwithstanding.
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Privileges and Immunities, Article 4, Section 2, Clause 1:
“The Citizens of each State shall be entitled to all Privileges and Immunities of Citizens in the several
States.”
Full Faith and Credit, Article 4, Section 1:
“ Full Faith and Credit shall be given in each State to the public Acts, Records, and judicial
Proceedings of every other State.” And the Congress may by general Laws prescribe the Manner in
which such Acts, Records and Proceedings shall be proved, and the Effect thereof.
Federalism Advantages
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Protecting liberty via dispersing power
Increased citizen participation in government
State and local governments more responsive to local desires
Laboratories of democracy
– Experiment with different policies
– People gain leadership experience at local level & move up to state or federal offices
Increased citizen participation in government
About 88,000 governments in the country equate to about 500,000 plus elected officials.
Local offices give experience for those seeking higher office.
As states dominate some policy areas, they can adjust policies to regional or local needs instead of
one national policy covering all.
Laboratories of Democracy
States experiment with different laws and programs. If successful, other states, sometimes even the
federal government, may adopt similar policies.
– Child Labor laws
– Social Security
– Granting Women the Right to Vote
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All began as state programs later adopted at the federal level as well.
Federalism Disadvantages
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Disadvantages are mirror images of advantages.
– Two sides of the same coin
Dispersing power also means local elites can make “bad” decisions (Bad depends partly on your
point of view)
– earlier slavery and segregation laws
– Lack of pollution control or enforcement to protect profits of leading employers
Freedom to innovate can mean competition between states
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Tax abatements to “steal” industry
Problems can be transferred to other states
– Air and water pollution
NIMBY syndrome
– Trash disposal
– Nuclear waste storage
“Race to the Bottom” in Welfare?
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Dispersion of Power & Multiple Elective Office Leads to Voter Confusion
Lengthy ballots at election time
Enormous drop-off in participation for lower level offices
– Some city elections have 8%-15% voter turnout
Who do voters know best
– Federal & key state officials?
– Or lower state and local officials?
Evolution of Federalism
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State-centered, @ 1789-1865
Dual, @ 1865-1913
Cooperative, @ 1913-1964
Centralized, @ 1964-1980
Devolution or New Federalism, @1980-?
State centered @ 1789-1865
– Almost all important decisions made at state level
– Power of national government unclear
• Doctrine of nullification
Dual Federalism , @ 1865-1913
– Civil war established national supremacy
– But federal government concentrated on international & some national policies
• Transcontinental railroad, river navigation
Cooperative, @ 1913-1964
– Federal government adopts and income tax, 1913, amendment #16
– Direct election of us Senators, 1913, amendment # 17
• Senators now represented people, not state governments
– Industrial revolution created a national economy vs. prior regional economies
– WWI, WWII, Cold War all focused attention on national government
– National programs due to Great Depression
With fed’s resources from income tax was able to assist states suffering from the depression
Grants-in-aid
– Grants from one level of government to another
– At this time mostly block grants
• Block = given for very broad purposes
• E.g. education in general
• States could decide how to spend as long as somehow related to education
Centralized Federalism, @ 1964-1980
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MAJOR DIFFERENCE:
– Fed govt. used grants for its own policy goals
– Poverty, pollution, education, urban renewal, consumer safety
Why?
– State malapportionment
– Some state senates represented counties
– Some lower house districts not redrawn for 50+ years
– Vast growth in cities and suburbs since the end of WWII
– But state legislatures controlled by rural counties
Though urban and suburban voters had little impact on state government
Their votes were important to U.S. Representatives, Senators and Presidential candidates
So Federal elected officials wanted to meet constituent needs states were ignoring.
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Partly came from Constitution’s grant to the federal government the ability to regulate interstate
commerce
– Economy is now national rather than local
Mostly due to bribery
– Federal revenues from income tax
– Used for Categorical grants
• Grants for very specific rather than broad block grants
• E.g., not just education, but bilingual education only
Devolution / New Federalism, 1980 -- Present
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States changed dramatically after 1960s
– Supreme Court reapportionment decisions
– Strengthened governorships
– More professionalized legislatures in some states
States complained about categorical grants tying their hands
Presidents from Carter to G.W. Bush (excepting Bush #1), were former governors.
Federal government returned responsibility for some programs to the states
– E.g., Eliminate AFDC, have states create “workfair” requirements
Sometimes with federal funding assistance, but state management
– E.g., Medicaid, fed sets basics, many states add features on top
Ronald Reagan sought to return more power and responsibility to the states
“Government is not the solution; it’s the problem”
In present day frequently referred to as Intergovernmental Relations (IGR)
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Katrina
– City of New Orleans & Mayor Ray Nagin
– State of Louisiana & Governor Kathleen Blanco
– Federal Government (FEMA, Federal Funds)
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911
– City of New York & Mayor Rudy Giuliani
– State of New York
– Federal Government & President Bush
Layer cake vs. marble cake federalism
Amendment 10
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The powers not delegated to the United States (national government) by the Constitution,
nor prohibited by it to the States,
are reserved to the States respectively,
or to the people.
What is national versus state is renegotiated by each generation
Federalism issues are as much political as legal
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As a general rule,
– Republicans favor cutting the power and size of the national government
Leaving more up to the states
– Democrats are more willing to use the power of the federal government
But the primary issue is often not the theory of federalism, but
– WHICH GOVERNMENT LEVEL WILL ADOPT THE POLICY I PREFER