American Government Week 4 Notes

Federalism in the Constitution

• Definition of federalism
  • A system of government in which power is divided between a central (national) government and regional (state and local) governments. Examples in other countries include Switzerland, Australia, and Germany. The United States was the first nation to adopt federalism as its governing framework.
  • Federalism contrasts with a unitary system, where lower levels of government have little independent power and primarily implement decisions made by the central government.
  • In the U.S., express powers are granted to the national government, with the remainder reserved to the states; this division creates two authorities: national and state governments.
• Why federalism matters
  • It enables national unity while accommodating diverse groups and interests across states.
  • It allows policy experimentation and tailoring to local preferences through state and local autonomy.
  • It creates opportunities for democratic participation at multiple levels and fosters competition among states and localities to attract people and businesses.
  • It can also create conflicts when overlapping responsibilities collide or when policy variation across subnational units is substantial (e.g., abortion, health care, voting rights).
• Federalism in practice: debates over uniformity vs. local tailoring
  • Some issues warrant uniform national standards; others benefit from state or local flexibility based on local needs and preferences.
  • The appropriate balance varies by issue area and political circumstances.
• How federalism interacts with other constitutional principles
  • The Constitution structures relations through enumerated (expressed) powers, implied powers, the Necessary and Proper Clause, and the Supremacy Clause, with reserved powers for the states (Tenth Amendment) and concurrent powers shared by both levels.
  • Intergovernmental relations describe the processes by which national, state, and local governments negotiate and compromise over policy responsibility.

Intergovernmental Powers and Core Provisions

• Expressed powers
  • Specifically granted to Congress (and the President in some cases) by the Constitution, such as taxation, defense, and regulation of commerce.
• Implied powers
  • Derived from the Necessary and Proper Clause (Article I, Section 8), enabling Congress to enact laws needed to execute its expressed powers.
• Necessary and Proper Clause
  • Grants Congress the authority to make all laws necessary and proper to carry out its enumerated powers.
• Reserved powers
  • Powers not delegated to the national government are reserved to the states (Tenth Amendment).
• Concurrent powers
  • Powers shared by both the national and state governments (e.g., taxation).
• Police power
  • The states’ authority to regulate health, safety, and morals of their citizens.
• Full Faith and Credit Clause
  • States must recognize the public acts, records, and judicial proceedings of other states (Article IV, Section 1).
• Privileges and Immunities Clause
  • Prevents discrimination by states against citizens of other states; ensures citizens have the same fundamental rights when moving between states (Article IV, Section 2).
• Home rule
  • Local governments’ authority to manage their own affairs as granted by states.

Evolution of the Federal-State Relationship

Dual Federalism (Traditional Federalism): 1789–1937

• Description
  • A system in which most fundamental government powers were shared or divided between the national and state governments, with the national government playing a relatively limited role in domestic policy.
• Government functions under traditional federalism (illustrative partition from Table 3.2)
  • National government policies (domestic): Internal\ improvements,\, subsidies,\, tariffs,\, public
    d land
    disposal,\, patents,\, currency,\, property, estate, and inheritance laws,\, commerce and banking laws,\, corporate, occupations, and professions, and insurance laws,\, family, morality, public health, and education laws,\, and penal and criminal laws.
  • State government policies: Eminent
    domain,\, construction,\, land
    d use,\, water and mineral laws,\, plus adaptation of state laws to local conditions, elections and civil service, local government,
  • Local government policies: Public
    d works,\, contracts for public works,\, licensing of public accommodation,\, zoning and other land-use regulation,\, basic public services.
• What these functions reveal
  • National policies focused on promoting commerce and growth (e.g., roads, tariffs, currency, land policy).
  • The national government did not typically coerce citizens; the emphasis was on promotion and encouragement of economic development.
  • States led economic regulation, shaping capitalism through property, contract, banking, and insurance laws.
• Slavery and civil rights embedded in the framework
  • Slavery and related property laws were embedded in state policy during much of this period; the national government avoided broad anti-slavery measures until later.
• Consequences
  • The framework maintained broad regional diversity and limited national strife by keeping policy decisions at the level closest to the people most affected, but also sowed tensions over national vs. state power.
• The “laboratories of democracy” concept began to take shape as states experimented with different policies.

Expansion of National Power: From the New Deal Era onward

• Key pivot points
  • The Great Depression and the New Deal significantly expanded national government power.
  • The Supreme Court initially constrained some New Deal policies but ultimately loosened its stance, expanding federal authority, especially via the Commerce Clause.
• Grants-in-aid and the rise of federal influence
  • The federal government began using grants-in-aid to influence state and local policy, creating a dependent relationship where states complied with national standards to receive funding.
  • Types of federal grants:
  • Categorical grants: Grants\ to\, states\, with restrictions on expenditures focused on particular programs or groups.
  • Block grants: Federal
    grants o ext{states with broad discretion on spending within general purposes}.
  • General revenue sharing: Unrestricted
    grant exactly as named; no strings attached.
• New Federalism and devolution (1970s–1990s)
  • Devolution: transferring responsibility for policy from the federal government to states/localities; proponents argued states are closer to the people and can tailor policy to local needs.
  • Nixon: championed block grants and revenue sharing as part of New Federalism; aimed to reduce federal control while preserving national policy goals.
  • Reagan (1980s): expanded use of block grants to shrink federal involvement; sought to reduce federal spending while allowing states to fill gaps with their own funds if desired.
  • 1994 Republican Congress: pushed further toward devolution; welfare reform culminated in 1996 replacing a federally managed welfare program with a block-grant style approach to state administration.
  • 2017–2020 developments: attempts to convert portions of Medicaid into block grants; policy shifts depended on executive branch priorities, with the Trump administration expanding such options and the Biden administration rolling some back.
• Diffusion and diffusion pathways
  • Policy ideas often diffuse across states and then to the federal level (horizontal diffusion) or travel from the federal level to states (vertical diffusion).
  • Examples: charter schools first emerged in Minnesota (1991); now widely allowed in many states; Massachusetts health care reform influenced the federal Affordable Care Act (2010).
  • State actions can trigger broader national changes (e.g., state smoking bans precede federal bans for air travel).
• Unfunded mandates
  • Laws or regulations requiring states to implement actions without providing funding to cover costs (e.g., a 1973 law requiring accessibility investments in disabled programs funded by the federal government).
  • 1995 reforms attempted to limit unfunded mandates but did not eliminate them entirely; debate continues over the appropriate level of federal funding to accompany national standards.
• Policy outcomes and redistribution concerns
  • Critics argue state-level governance may underinvest in redistributive programs due to competition for residents and businesses (the “race to the bottom”).
  • The 1996 welfare reform shifted more responsibility to states, aiming to tailor welfare approaches but raising concerns about adequacy and equity of support.

The Politics of Federalism Today

• Ongoing debates about levels of government responsibility
  • National, state, and local governments continually renegotiate who does what, with tensions influenced by court decisions, political control, and policy needs.
  • The idea of states as “laboratories of democracy” remains central, with policy innovations diffusing across jurisdictions.
• States’ rights and the Tenth Amendment
  • The Tenth Amendment reserves powers not delegated to the federal government to the states; its interpretation has waxed and waned across history.
  • Nullification arguments (states refusing to obey federal laws believed to exceed constitutional authority) have appeared at various points, notably pre-Civil War in the form of Calhoun’s positions.
  • Post-Civil War, the Civil Rights era, and late 20th century debates revived interest in states’ rights, sometimes linked with opposition to federal civil rights mandates.
• Supreme Court decisions shaping federalism
  • United States v. Lopez (1995): limited Congress’ Commerce Clause power, marking a rare check on federal authority; signaled renewed state sovereignty in certain contexts.
  • Printz v. United States (1997): struck down federal requirements for state/local officials to conduct background checks under the Brady Act, reinforcing state sovereignty in implementation of federal programs.
• Devolution as a continuing theme
  • Since the 1970s, devolution has remained a key concept; block grants and welfare reform are central examples of returning discretion to states.
  • Critics warn about unfunded mandates and disparities in policy outcomes across states; supporters argue that states can tailor policies and encourage innovation.
• Key questions about federalism today
  • Which responsibilities are best handled at the national level vs. the state/local level?
  • How should federal funding (grants-in-aid) be structured to avoid excessive state dependency or under-provision of essential services?
  • How do diffusion and experimentation occur most effectively across jurisdictions?
  • How can unfunded mandates be mitigated while preserving national standards and protections?

How to Make Your Voice Heard at Local Government Meetings

• Steps outlined by Domingo Morel (cofounder of a policy institute)
  • 1) Identify the jurisdiction and get on the meeting agenda.
  • 2) Do research; local staff may be limited; offer data and analysis to help officials.
  • 3) Prepare a concise statement with a personal narrative and a proposed solution.
  • 4) Follow up via email, social media, and attendance at subsequent meetings.
  • 5) Build coalitions and consider collective action; e.g., mobilize groups to influence policy.
  • 6) Work across generations; recruit younger people and share knowledge.
  • 7) Leverage the federal system; some issues require action at multiple levels; if one level resists, try another.
• Practical takeaway
  • Local advocacy benefits from clear information, personal stories, coalition-building, and persistence across multiple sessions and levels of government.

Abortion Policy and Federalism: The Dobbs Rule and State Variation

• Dobbs v. Jackson Women’s Health Organization (2022)
  • The Supreme Court overturned Roe v. Wade (1973) and Planned Parenthood v. Casey (1992), removing a federal constitutional protection for abortion and returning regulation to the states.
  • Reactions:
  • Pro-life advocates celebrated the decision as restoring state control and protecting human life.
    • Jessica Rodgers (DC Metro Life Alliance): described the decision as removing a long-standing barrier and expressed euphoria.
    • Lynda Bell (Florida Right to Life): stated that states could protect life after decades of Roe’s barrier.
  • Abortion rights advocates condemned the decision, warning of deadly consequences for women and the loss of a uniform national standard.
    • Rachel O’Leary Carmona (Women’s March): described the ruling as a nightmare with deadly consequences.
• Post-Dobbs state variation (abortion access across states)
  • Before Dobbs, states varied in policies such as waiting periods, counseling laws, ultrasound laws, and parental notification/consent for minors.
  • After Dobbs, variation intensified as states could legislatively regulate abortion without a national safeguard.
  • By one year after the ruling:
  • 14 states prohibited abortion due to trigger laws enacted in anticipation of Dobbs.
  • 11 more states prohibited abortion after 22 or fewer weeks of pregnancy.
  • The remaining 25 states plus the District of Columbia continued to permit abortion beyond 22 weeks, with some specifying 24 weeks or fetal viability as the cutoff.
• Real-world observation by practitioners
  • Social worker Hanz Dismer (Missouri-based, works in Illinois) noted prior cross-state patient travel and anticipated worsening access post-Dobbs; observed that patients already traveled from multiple states for abortion services.
• Implications for federalism
  • Dobbs illustrates how changes in the federal-state balance can directly alter rights and access based on geographic location.
  • The abortion policy landscape remains a salient example of how federalism shapes everyday life, politics, and the distribution of rights and protections across the country.

Key Takeaways and Core Terms

• Core takeaways
  • Federalism structures the relationship between national and subnational governments and allows policy variation across states.
  • The balance of power has shifted over time, influenced by Supreme Court interpretations, economic crises, and political movements.
  • Federalism can both promote innovation (experimentation, policy diffusion) and produce inefficiencies or inequalities (unfunded mandates, race to the bottom).
• Important terms to know
  • federalism, unitary system, intergovernmental relations, expressed powers, implied powers, Necessary and Proper Clause, reserved powers, concurrent powers, police power, Full Faith and Credit Clause, Privileges and Immunities Clause, home rule, dual federalism, Commerce Clause, grants-in-aid, categorical grants, cooperative federalism, regulated federalism, preemption, states’ rights, devolution, block grants, general revenue sharing, diffusion, unfunded mandate, redistributive programs.

Critical Analysis Prompts (from the text)

• Which level of government had the most influence over citizens’ lives at the country’s founding, and why did that allocation make sense then?
• How have Supreme Court decisions affected the balance of power between the federal government and the states? Has the Court favored federal power or state power in key cases like Lopez and Printz?
• Should states be required to implement unfunded mandates? How should federal funding be allocated for national standards?
• How has policy diffusion shaped the spread of reforms (e.g., charter schools, health care) across states and to the federal level?
• What are the practical and ethical implications of devolution and block grants for redistribution and public services?

Connections to Foundational Principles and Real-World Relevance

• Foundational principles
  • The Constitution’s structure aims to balance unity with regional autonomy, enabling experimentation while maintaining national cohesion.
  • The system preserves the possibility of national action in crisis (e.g., post-9/11 policy responses) while permitting state-level tailoring.
• Real-world relevance
  • Debates over abortion access, health care, voting rights, and environmental policy repeatedly hinge on who has decision-making authority—the federal government or the states.
  • Current policy debates, court decisions, and legislative reforms continue to redefine the scope of federalism and the distribution of powers in American governance.

Quick Reference: Foundational Clauses and Concepts (LaTeX-ready)

• Commerce Clause: ext{Commerce Clause} ext{ (Article I, Section 8): } \text{Congress may regulate commerce with foreign nations, and among the several States, and with the Indian tribes.}
• Necessary and Proper Clause: ext{Article I, Section 8: } ext{Congress has the power to make all laws necessary and proper for carrying into execution the foregoing powers.}
• Supremacy Clause: ext{U.S. Constitution, Article VI, Clause 2: } ext{This Constitution, and the laws of the United States which shall be made in pursuance thereof, shall be the supreme Law of the Land.}
• Tenth Amendment: ext{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.}$$

Endnotes (contextual references mentioned in the material)

• Note 01: Coverage of pro-life convention reactions to Dobbs (CNN, 2022).
• Note 02: Coverage of abortion-rights advocates’ reactions to Dobbs (NPR, 2022).