Federalism in American and Texas Government
Section 3: Federalism
Definition of Federalism
Federalism is a system of government in which power is divided between a central authority and constituent political units, such as states.
Three Major Forms of Government Organization:
Federalism
Unitary Government
Confederation
Unitary Government
How Unitary Government Works:
In a unitary system, the central government holds the primary authority, and any administrative divisions (like regions or local governments) derive their powers from it.
Example of Unitary System:
France is cited as a clear example of a unitary government.
Confederation Government
How Confederation Government Works:
In a confederation, member states retain significant independence and power, often coming together for specific, often limited purposes.
Number of Governments in America
Total Governments:
Approximately 90,106 governments exist according to the U.S. Census Bureau (2013). The composition includes:
1 U.S. Federal Government
50 State Governments
3,031 County Governments
19,519 Municipal Governments
16,360 Town Governments
38,266 Special District Governments
12,880 Independent School Districts
Local Governments in Texas (2017):
5,343 local governments.
Advantages of Federalism
Diverse Policies:
Federalism allows for policies that reflect the diversity of the population.
Minimized Policy Conflict:
Reduces the likelihood of policy conflicts between different levels of government.
Interstate Compacts:
Agreements between states to cooperate in various policy areas.
Closeness to the Population:
Local governments are closer to people, enhancing responsiveness.
Healthy Dispersion of Power:
More opportunities for citizens to participate in governance.
Policy Innovation at State Level:
States act as “laboratories” for trying new policies and solutions.
Training Grounds:
State and local levels are excellent training grounds for political leadership.
Privileges and Immunities Clause:
Requires that states not discriminate against citizens of other states.
Concerns Regarding Federalism
Lack of National Standards:
Absence of uniform standards can result in inequities across states.
Undemocratic Protections:
The dispersion of power might enable the protection of interests contrary to national trends.
Low Visibility of Local Governments:
Limited information flow about local government operations.
Is Diversity Always Beneficial?:
Variation in state policies can lead to negative competition between states.
Dividing Power in Federalism
Types of Powers:
National Powers
State Powers
Concurrent Powers
Denied Powers
National Powers
Obligations:
Protect states from invasion and violence.
Supremacy Clause:
The U.S. Constitution is the supreme law of the land. Judges must obey it.
Enumerated Powers Include:
Coin money
Conduct foreign relations
Regulate commerce
Provide military (army and navy)
Declare war
Establish courts inferior to the Supreme Court
Establish post offices
Enact necessary and proper laws to execute above powers
Admit new states
State Powers
Reservation Clause (10th Amendment):
Powers not delegated to the national government are reserved for the states.
Powers Include:
Legislate on public health, safety, and morals
State criminal laws
Regulate time, place, and manner of elections
Ratify amendments to the federal Constitution
Exert powers not delegated to the national government or prohibited to the states
Regulate commerce within states
Establish local governments
Concurrent Powers
Definition:
Powers shared by both national and state governments.
Examples Include:
Taxation
Borrowing money
Making and enforcing laws
Chartering banks
Spending money for the general welfare
Taking private property for public purposes with just compensation.
Denied Powers
Definition:
Powers not granted to any level of government.
Specific Prohibitions Include:
Bill of Attainder:
A law that declares a person guilty without trial.
Ex Post Facto Laws:
Laws that make an act illegal retroactively.
Powers Denied to State Governments:
Specific powers that the Constitution denies states.
Powers Denied to National Government:
Specific powers denied to the federal government to maintain balance.
Development of Federalism in the USA
Key Historical Cases and Concepts
Marshall Court:
Significant for its expansive interpretation of federal powers.
McCulloch v. Maryland:
Established the federal government’s implied powers and invalidated state actions against federal institutions.
Nullification:
The doctrine that states can invalidate federal laws deemed unconstitutional.
Preemption:
The principle that federal laws take precedence over state laws.
Civil War Amendments
Expansion of Federal Power:
Federal government’s power expanded to enforce new national standards.
Key Amendments:
13th Amendment: Abolished slavery.
14th Amendment: Established due process and equal protection under the laws; includes the incorporation doctrine.
15th Amendment: Granted former male slaves the right to vote.
Significant Provisions:
Remedial legislation can be enacted to combat discriminatory state laws (Section 5 of 14th Amendment).
Different Types of Federalism
Dual Federalism:
Each layer of government (federal and state) operates independently within its own jurisdiction. Historically characterized by distinct separation and a state-centered view.
Dred Scott Decision (1857):
A historical example underscoring the limits of federal power in relation to states.
End of Dual Federalism:
The concept began to degrade in the 1930s, transitioning to cooperative federalism. Visual metaphor: a large national cake with smaller state cupcakes.
Cooperative Federalism:
Also called marble cake federalism or shared federalism, this model promotes shared responsibility and power between national and state governments over policy areas without clear divisions.
Programs and solutions for issues at both levels are typically funded and administered collaboratively.
Picket Fence Federalism:
A modified version of cooperative federalism, where interactions are structured along specific policy areas, creating organized interactions among different government levels, depicted as a neat white picket fence rather than a messy marble cake, indicating structured but shared governance.
Rationale for Cooperative Federal Spending
National Revenue for National Problems:
Federal funds help tackle issues that require national solutions, establishing uniform standards.
Equalizing Resources:
Federal support can alleviate discrepancies in state and local resources, fostering equity in public services.
Improved Local Management:
State and local agencies may be better suited to administer certain programs effectively, reducing the size and growth of federal agencies.
Cutthroat Competition and Race to the Bottom:
Competitive Federalism:
States aim to attract businesses but can lead to detrimental outcomes when competition spirals into harmful policies (race to the bottom).
Mechanisms for Federal Fund Distribution
Fiscal Federalism:
The process whereby the federal government allocates funds to lower levels of government.
Types of Grants:
Categorical Grants:
Federal funds provided for specific purposes, often with strict regulations attached; Medicaid is a prominent example.
Program Grants:
Specialized grants with time limits focused on particular issues.
Block Grants:
Broader grants with fewer conditions, allowing more discretion at local or state levels.
New Federalism:
This refers to a shift in the balance of power back towards states, with an emphasis on block grants.
Revenue Sharing:
Allocating funds based on a formula predetermined in legislation.
Unfunded Mandates:
Requirements set by the federal government imposed on state or local governments without providing federal funding to cover the expense.
Coercive Federalism
Definition of Coercive Federalism:
A system where the federal government compels states to follow certain laws or regulations if they want federal funds.
Example:
Numerous categorical grants operate under this framework, necessitating compliance with federal rules such as the requirement for states to raise the legal drinking age to 21 for federal highway funds.