Federalism in the United States

Why Federalism

  • Divides power between national and state governments, each enforcing laws on their citizens.

  • Differs from unitary systems (common in countries like France and Great Britain).

The Argument for a Compound Republic

  • Protects Liberty: Encourages rival centers of power.

  • Disperses Power: Distributes power among various leaders (national, state, local).

  • Increases Participation: 90,000+ governments allow many public officeholders.

  • Improves Efficiency: Avoids confusion by localizing control instead of centralizing it.

  • Ensures Policy Responsiveness: Multiple governments tailor policies to citizen preferences.

  • Encourages Policy Innovation: States can experiment with solutions (Brandeis’s "laboratories of democracy").

Powers in Federalism

Delegated Powers

  • Specifically listed in the Constitution for the national government.

  • Includes authority over war, foreign affairs, economy, money supply, taxation.

  • Necessary and Proper Clause: Grants implied powers.

Concurrent and Reserved Powers

  • Concurrent powers: Shared by national and state governments (taxation, law enforcement).

  • Reserved powers (10th Amendment): Powers not delegated to the national government are for states (property law, education).

Powers Denied to States

  • States cannot coin money, enter treaties, impair contracts, tax imports/exports, or engage in war.

Powers Denied to Both

  • Both levels can't abridge individual rights (14th Amendment extends Bill of Rights to states).

State Role in National Government

  • States are essential in national governance (House representation, electoral votes).

  • Three-fourths of states needed to ratify amendments.

State Obligations to Each Other

  • States must recognize actions from other states (Article IV's Full Faith and Credit).

Evolution of American Federalism

  • Shifted from state-centered (1787-1868) to national-centered over time.

Phases of Evolution

  1. State-Centered Federalism (1787-1868): Focus on states resolving most issues.

  2. Dual Federalism (1868-1913): Distinct responsibilities, states dominated domestic policy.

  3. Cooperative Federalism (1913-1964): Blurring lines due to federal initiatives (e.g., New Deal).

  4. Centralized Federalism (1964-1980): Federal government asserts national goals across problems.

  5. New Federalism (1980-1995): Return power to states; reduced federal role.

  6. Representational Federalism (1985-1995): States retain role through elections, not powers.

Direct Democracy and Federalism

  • Direct democracy allows policy by popular vote, viewed skeptically by Founders.

Initiative, Referenda, and Recall

  • Initiative: Voters can propose amendments/laws via petition (allowed in 18 states).

  • Referenda: Legislative decisions require voter approval or popular petition.

  • Recall: Voter-initiated removal of elected officials (16 states allow this).

Federal Influence via Funding

  • Grant-in-aid programs significantly influence state/local governance.

  • Participation in grants is voluntary but may come with conditions.

Types of Grants

  • Categorical Grants: Specific projects approved by federal agencies (e.g., Medicaid).

  • Block Grants: General functions with state discretion on spending.

Refined Summary of this Unit:

Federalism divides power between national and state governments.

  • Defining Characteristics:

    • Protects Liberty: Encourages rival centers of power.

    • Disperses Power: Distributes power among national, state, and local authorities.

    • Increases Participation: 90,000+ governments enabling public involvement.

    • Improves Efficiency: Localizes control to avoid confusion.

    • Policy Responsiveness: Multiple governments cater to citizen preferences.

    • Innovation: States can experiment (Brandeis’s "laboratories of democracy").

  • Powers in Federalism:

    • Delegated Powers: Specifically outlined in the Constitution for national authority (e.g., war, foreign affairs, taxation).

    • Concurrent Powers: Shared between national and state governments (e.g., taxation, law enforcement).

    • Reserved Powers (10th Amendment): Powers not given to the national government are reserved for the states (e.g., education).

    • Powers Denied to States: States cannot coin money, enter treaties, or engage in war.

    • Powers Denied to Both: Neither level can abridge individual rights (14th Amendment extends Bill of Rights to states).

  • State Role in National Government:

    • Essential for representation (House representation, electoral votes) and ratification of amendments.

  • Evolution of American Federalism:

    • Phases include State-Centered, Dual, Cooperative, Centralized, New, and Representational Federalism.

  • Direct Democracy: Initiative (laws via petition), Referenda (voter approval), Recall (removing elected officials).

  • Federal Influence via Funding:

    • Grant-in-aid programs, including Categorical Grants (specific projects) and Block Grants (state discretion).