Federalism and the States Study Notes

Chapter 3: Federalism and the States

State and Local

Learning Objectives

• Explain the distribution of powers between the states and the federal government.

• Describe how the balance of power between the states and the federal government has evolved over time.

• Describe how federal ownership of land has become a point of contention in the modern federal system.

Introduction: The Federal System and COVID-19 Response

• The response to the Coronavirus pandemic illustrates the federal system in the United States.

• Early 2020: The spread of the 2019 novel coronavirus (COVID-19) prompted a public health response.

• Healthcare and disease response are generally considered government responsibilities.

• President Trump's declaration: The federal government serves as a "backup" for state governments.

• The U.S. exhibited a decentralized response compared to other nations.

Data: Rate of Excess Deaths by State (March 2020 - Jan. 2, 2021)

• Categories of excess deaths per 100,000 people:

  • 200-260

  • 180-199

  • 160-179

  • 122-159

  • 65-121

  • 20-64

• Note: Data for North Carolina was excluded due to reporting delays.

Understanding Decentralized Response

• Federalism in the U.S. includes a national government and sub-national (state) governments.

• Federalism reshapes responses to national crises like COVID-19.

  • States have unique issues that require cooperation; this concept is termed horizontal federalism.

  • States competed for critical medical supplies such as ventilators and personal protective equipment (PPE).

  • Some states implemented travel bans inconsistently, leading to less effective outcomes compared to a unified approach.

  • Testing disparity was noted based on one's state of residence.

Justifications for Disparate State Responses

• Each state holds authority to enact public health measures like quarantines.

• States operate as "laboratories of democracy" - a phrase coined by Supreme Court Justice Louis Brandeis. This idea presents that:

  • Different state policies during COVID-19 can reveal effective governance practices and outcomes.

State Policy Decisions during the Pandemic

• Decisions were largely made by state executives (governors).

• Economic lockdown measures in March 2020 showed a correlation with political affiliation:

  • 70% of states without lockdowns were Republican-controlled.

  • 87% of Democrat or mixed-control states implemented lockdowns.

• State decisions on lockdowns were closely associated with public health spending policies.

Variations Among Subunits Within States

• Different subunits (counties, municipalities) within states managed pandemic responses variably.

• States can override local decisions, resulting in tensions, particularly between liberal urban areas and conservative state governance.

• This dynamic exemplifies vertical federalism - relationships between various levels of government.

Case Study: Texas COVID-19 Response

• Texas Governor Greg Abbott's banning of local mask mandates led to legal support for state authority against local regulations.

• The Texas Supreme Court endorsed Abbott's actions, reflecting ongoing political tensions between state leadership and local governance.

Federalism at the Founding

Background

• The U.S. Constitution emerged due to frustrations with the Articles of Confederation.

  • Under the Articles, the central government was weak, often unable to levy taxes as states felt little obligation to cooperate.

  • Confederation defined: A governmental structure where lower-level units retain most authority, limiting central government scope.

Alternative Systems

• A unitary system consolidates power in the national government, without significant local autonomy. Example: Modern France.

• The U.S. Constitution established a federal system as a compromise between confederate and unitary systems.

Constitution's Power Distribution

• Aimed to balance power, the Constitution enumerates specific powers held by the federal government.

  • Enumerated Powers include:

  • Coin money

  • Raise an army

  • Establish postal service

  • Regulate interstate commerce

  • Make treaties

• Powers not delegated to the federal government are reserved for states, known as police powers.

  • State police powers allow regulation for the health, safety, and welfare of citizens (e.g., gambling laws).

Types of Powers

• Federal Powers (exclusive to federal government):

  • Coin Money

  • Raise Army

  • Create Postal Service

  • Regulate Interstate Commerce

  • Declare War

  • Immigration Regulations

• Shared Powers (concurrent powers):

  • Raise Taxes

  • Spend Money

  • Borrow Money

  • Take Property under Eminent Domain

• State Powers:

  • Charter Corporations

  • Regulate Public Education

  • Regulate Public Health

  • Administer Elections

Supremacy Clause and Necessary and Proper Clause

• Supremacy Clause (Article VI): Establishes that federal law prevails over conflicting state laws, rendering state laws null and void in such cases.

• Necessary and Proper Clause: Grants Congress power to enact laws necessary to execute enumerated powers.

  • Case Reference: McCulloch v. Maryland (1819)

  • Issue: Federal authority to create banks vs. Maryland's tax on the bank.

  • Court Ruling: Banks were constitutional via implied powers granted by the Necessary and Proper Clause, affirming federal supremacy under the Supremacy Clause.

Commerce Clause and Its Implications

• The Commerce Clause allows Congress to regulate interstate commerce.

  • Case Reference: Wickard v. Filburn (1942)

  • Farmer fined for growing wheat for his own use.

  • Court ruled that it affected interstate commerce by impacting the national market.

Historical Context of Federalism

• Before the Civil War, states balanced federal power, primarily managing domestic issues.

• Post-Civil War:

  • Increased federal spending and regulation.

  • Concerns over slavery shaped state-federal relations.

  • New industry and market necessitated federal regulations.

Changes in Federalism Post-Great Depression

• During the Great Depression, unemployment peaked and federal responses burgeoned.

• Original objections to federal reach under the Commerce Clause were overturned.

  • Case Reference: National Labor Relations Board v. Jones & Laughlin Steel (1937); Court affirmed Congress's authority under the Commerce Clause to regulate labor unrest.

World War II and Cooperative Federalism

• WWII further centralized federal power due to extensive coordination needs; spending grew tenfold, marking the rise of cooperative federalism.

• Post-war legislation sought to expand rights and services equitably through federal programs.

Modern Federalism: Grants and Financial Mechanisms

Block Grants vs. Matching Grants

• Block Grants: Allocated for specific programs without conditions on spending.

• Matching Grants: Require states to contribute funds, typically making them attractive for states to ensure federal matching.

• Example: Medicaid expansion, where federal funds incentivize state spending.

Political Dynamics and Federalism

• Political polarization influences state responses and federal-state interactions, seen in public health responses and policy implementation.

• Recent trends reveal Democratic states leaning toward expansive intervention compared to Republican states.

Case Studies and Outcomes of Modern Federalism

• Unfunded mandates enforce federal requirements without financial support.

  • Example: Congressional conditions attached to federal highway funding regarding state drinking age policies.

Impact of Federal Ownership of Land

• Federal land ownership neuralgically intersects with state priorities and conservation efforts.

• The political divide often correlates with party lines regarding support for federal land management.

Summary of Historical Trends

• An ongoing trend in U.S. history highlights the growth of federal power alongside public service demands, resulting in a more centralized approach impacting various regional concerns.