Chapter 3: Federalism 1

Chapter 3: Federalism 1

CHAPTER 3

Federalism

LEARNING OBJECTIVES

1.Why does the United States have federalism?

2.How has American Federalism evolved from the Founding to the present?

3.Which level of government does federalism favor, the national government or the states?

4.Where is sovereignty located in the American political system?

5.How is power divided between the national government and the states under theConstitution?

6.What competing values are at stake in federalism?

7.Who should decide which matters ought to be governed mainly or solely by nationallaws?

SUMMARY OVERVIEW

One area of conflict that has been consistent since the writing of the Constitution is the political conflict between national and state governments. The Constitution is the supreme law of the United States; it has been so for the last 225 years, and has been only amended 27times. Prior to the writing of the Constitution, state governments oversaw social welfare policy, education, health care, and a minimum wage; with the institution of the Constitution these policy areas became the responsibility of the national government.

Federalism is a political system where local and national units of government can make final decisions with respect to at least some governmental activities and whose existence is specially protected. The Constitution grants the national government the authority to pass laws and federal courts the authority to uphold laws, but state and local government officials have the authority to decide whether and how much these federal laws are followed orfunded.

The Founders believed that a federation derives its powers directly from the people, as do the state governments, and that both levels of governments (federal and state) would have certain powers, but neither would have supreme authority over the other. The powers of the state were not mentioned in the Constitution until the Tenth Amendment was ratified.

The Supreme Court was established as the final authority on Constitutional interpretation, and early in their tenure they founded the doctrine of dual federalism: the national government and state governments are supreme within their own spheres and these spheres should be keptseparate.

Sovereignty is defined as the supreme or ultimate political authority that is legally and politically independent of any other government. The issue of state sovereignty continues today, and the Supreme Court has decided cases on this topic as late as 2000. There are many forms of local governance: city (municipality), special charter, general-act charter, home-rule charter, and counties. The bottom line, where states are concerned, is that they can do anything that is not prohibited by the Constitution or preempted by federal policy and that is consistent with its own constitution. The independence (sovereignty) of the states results, in large part, from the commitment of Americans to the idea of local self-government and fromthe fact that Congress consists of people who are selected by and responsive to localconstituencies.

One of Federalisms most notable effects has been to facilitate the mobilization of political activity. If citizens feel that they matter to the political process, that they can make a difference, they are more likely to become politically active.Although laws are to be made by the representatives of citizens and not citizens directly, many state constitutions open doors to direct democracy:

Initiative—allows voters to place legislative measures directly on the ballot by getting enough signatures.
Referendum—a procedure that enables voters to reject a measure adopted by the legislature.
Recall—a procedure whereby voters can remove an elected official from office.

Political action and legal action tend to come to a head where the national government is concerned. The grants-in-aid system is a good example of this conflict. Federal money is attractive for four reasons:

Money was there.
As those surpluses dwindled; Washington inauguratedthe federal income tax.
The federal government managed the money and could print currency at will.
Federal money seemed to state officials to be “free” money.

One benefit of federalism is that when the federal government wants to send money to one state, it must send money to many states. No matter the grant, there are requirements to its usage—either conditions of aid or mandates—however, waivers may be granted.

A topic that continues to cycle around is devolution, a process to pass on to states many federal functions. Unfortunately, states have enacted new rules and regulations of their own, but also have prompted Washington to issue new rules and regulations. As with all political debates, it is important to determine which responsibilities fall on the states and those that fall on the federal government.

The social diversity of the United States and the fact that it is represent not only by state and local leaders but also by members of Congress keeps federalism alive and makes it soimportant.

Chapter Outline

I.Why Federalism Matters?

II.The Founding

A Bold, New Plan
Elastic Language

III.The Debate on the Meaning of Federalism

The Supreme Court Speaks
Nullification
Dual Federalism
State Sovereignty

IV.Governmental Structure

Increased Political Activity
What the States Can Do

V.Federal-State Relations

Grants-In-Aid
Meeting National Needs
The Intergovernmental Lobby
Categorical Grants
Rivalry among the States

VI.Federal Aid and Federal Control

Mandates
Conditions of Aid

VII.A Devolution Revolution?

VIII.Congress and Federalism

TEACHING TOOLS

Learning Objective 1: WHY DOES THE UNITED STATES HAVE FEDERALISM?

Critical Thinking Question

Under the federalist system, states have great flexibility in their management of crime, education, business, and property. What are the advantages of having each state be responsible for these key policy areas? What are the disadvantages?

In-Class Activity

Divide the class into four groups: federalism, democracy, past political thought (during the writing of the Constitution), and current political thought.Each group needs to defend their position on their topic.The groups charged with past and current political thought need to argue why federalism and democracy work during their time period.

Lecture Launcher

Ask the class what would happen if the Antifederalists had won their argument against the Federalists? How do they think our Constitution, and American government and society, would be different?

Learning Objective 2: How has American Federalism evolved from the founding to the present?

Critical Thinking Question

The Founders established a government that obtained its power directly from the people; how has their understanding of federalism evolved into today’s government?

In-Class Activity

With input from the class, create a comparison chart of what federalism meant to the Founders and what it means today.

Lecture Launcher

Discuss with the class why democracy (federalism) was more appealing to the Founding Fathers than the monarchy they came from.

Learning Objective 3: Which level of government does federalism favor, the national government or the states?

Critical Thinking Question

Discuss how federalism prevents a tyranny from forming.

In-Class Activity

Divide the class into two groups: state and national; each group will argue why they should have the ultimate power in governance. NOTE: the instructor will want to emphasize, if it is not brought up in discussion, that neither the state nor the national governments have supreme authority over the other.

Lecture Launcher

Have the class discuss: to which branch of government does the Constitution grant power. (The instructor should highlight that the Founders assumed, albeit incorrectly, that the federal government would have only those powers given to it by the Constitution, thus the inclusion of the Tenth Amendment)

Learning Objective 4: Where is sovereignty located in the American political system?

Critical Thinking Question

Explain sovereignty and then discuss which governing bodies are eligible for sovereignty in the United States and what makes them eligible.

In-Class Activity

Discuss the differences and similarities between national sovereignty and state and localsovereignty.

Lecture Launcher

Ask the class to draw similarities of sovereignty to independence from their parents.

Learning Objective 5: How is power divided between the national government and the states under the Constitution?

Critical Thinking Question

Which amendment addresses the division of power between the national and state governments? Explain the importance of this amendment.

In-Class Activity

The instructor will divide the class into two groups; one group will argue for the Tenth Amendment and the other will argue that the federal government can be trusted to operate within the powers granted to it by the Constitution.

Lecture Launcher

Discuss where the United States government, both national and subnational, derivesauthority?

Learning Objective 6: What competing values are at stake in federalism?

Critical Thinking Question

Discuss where the national government and state governments derive their authority. Why is there not more competition amongst the two for final decision-making authority on more issues?

In-Class Activity

Divide the class into two groups and have them argue the following: Should the federal government provide social welfare and does the national have the right to provide social welfare(national interests v. states’ rights).

Lecture Launcher

Ask the class to think about how the decision to provide assistance is made when problems arise in a state (i.e., natural disaster or uncontrollable crime).

Learning Objective 7: Who should decide which matters ought to be governed mainly or solely by national laws?

Critical Thinking Question

Should states be able to adapt federal programs to suit their own needs,or should everyone follow the same standards? How might differing standards trigger questions of fairness andequity?

In-Class Activity

Divide the class into four groups; each group will choose a court case presented in the chapter and explain the importance of the case to our governmental operation.

Lecture Launcher

Have the class discuss how the Constitution is interpreted in the United States. Why is this method preferable to allowing the executive and legislative branches decide how national laws are to be governed?

Key Terms

categorical grantsFederal grants for specific purposes, such as building an airport.

conditions of aidTerms set by the national government that states must meet if they are to receive certain federal funds.

dual federalismDoctrine holding that the national government is supreme in its sphere, the states are supreme in theirs, and the two spheres should be kept separate.

FederalismGovernment authority shared by national and local governments.

grants-in-aidMoney given by the national government to the states.

initiativeProcess that permits voters to put legislative measures directly on the ballot.

mandatesTerms set by the national government that states must meet whether or not they accept federal grants.

“necessary and proper” Section of the Constitution allowing Congress to pass all laws

clause “necessary and proper” to its duties, and which has permitted

Congress to exercise powers not specifically given to it

(enumerated)by the Constitution.

nullificationThe doctrine that a state can declare null and void a federal law that, in the state’s opinion, violates the Constitution.

police powerState power to enact laws promoting health, safety, and morals.

recallProcedure whereby voters can remove an elected official from office.

referendumProcedure enabling voters to reject a measure passed by the

legislature.

waiverA decision by an administrative agency granting some other part permission to violate a law or rule that would otherwise apply to it.

Web Links

State news:

Council of State Governments:

National Governors Association:

Supreme Court decisions:

INSTRUCTOR RESOURCES

Beer, Samuel H. To Make a Nation: The Rediscovery ofAmerican Federalism. Cambridge: Harvard UniversityPress, 1993. The definitive study of the philosophicalbases of American federalism.

Conlan, Timothy. From New Federalism to Devolution.Washington, D.C.: Brookings Institution, 1998.A masterful overview of the politics of federalismfrom Richard Nixon to BillClinton.

Daniel, Ronald, Donald F. Kettl, and Howard Kureuther,eds. On Risk and Disaster: Lessons from HurricaneKatrina. Philadelphia: University of PennsylvaniaPress, 2006. Several experts evaluate thegovernment response.

Derthick, Martha N. Keeping the Compound Republic.Washington, D.C.: Brookings Institution, 2001. Amasterful analysis of trends in American federalismfrom the Founding to thepresent.

Diamond, Martin. “The Federalist’s View of Federalism.” InEssays in Federalism, edited by George C.S. Benson.Claremont, Calif.: Institute for Studies in Federalismof Claremont Men’s College, 1961, pp. 21–64. Aprofound analysis of what the Founders meant byfederalism.

Grodzins, Morton. The American System. Chicago:Rand McNally, 1966. Argues that Americanfederalism has always involved extensivesharing of functions between national and stategovernments.

Melnick, R. Shep. Between the Lines: Interpreting WelfareRights. Washington, D.C.: Brookings Institution,1994. An examination of how trends in statutoryinterpretation have affected broader policydevelopments, including the expansion of theagenda of national government, the persistenceof divided government, and the resurgence anddecentralization of Congress.

Riker, William H. Federalism: Origin, Operation,Significance. Boston: Little, Brown, 1964. A classicexplanation and critical analysis of federalism hereand abroad.

Teske, Paul. Regulation in the States. Washington, D.C.:Brookings Institution, 2004. States have respondedto devolution by adding new regulations oftheir own.