FEDERALISM AND THE AMERICAN FOUNDING

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FEDERALISM AND THE AMERICAN FOUNDING

• In addition to questions of the structure of the
  national government, the balance of power between
  the central government and the states was at the
  heart of the constitutional struggle between the
  Federalists and the Antifederalists.

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ANTI-FEDERALISTS AND THE VICE PRESIDENCY

• The Vice-President of the United States shall
  be President of the Senate, but shall have no
  Vote, unless they be equally divided.
• --Article I, Section 3 of the United States
  Constitution

• Anti-Federal objections to the Constitutional
  position of Vice President exemplify the late
  18th century struggles over federalism as well as
  the separation of powers.

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ANTI-FEDERALISTS AND THE VICE PRESIDENCY

• 18th CENTURY PRINCIPLE The states (former
  colonies) were, to a degree, independent entities
  that deserved equal representation as states.
  This was achieved in the Senate.

• ANTI-FEDERALIST OBJECTION In cases of tie
  votes, the Vice Presidents state would have an
  additional vote and thus an unequal advantage in
  the Senate.

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ANTI-FEDERALISTS AND THE VICE PRESIDENCY

• Even though this intense squabble was of minor
  importance at the time of the American founding,
  it exemplifies two salient issues that help us to
  understand late 18th century politics
• 1. The concept of separation of powers was
  understood to demand a strict separation in the
  functions of the legislative, executive, and
  judicial branches of government.
• 2. The relative strength of the states was at
  the heart of many of the political battles of
  the time.

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The Federal Framework

• Governments can organize the balance of power
  between the central and regional governments in a
  variety of ways
• Confederations
• Federal systems
• Unitary systems

• federalism
• defined a system of government in which
  power is divided, by a constitution, between a
  central government and regional governments.

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• Unitary systems tip balance of power in favor of
  a stronger central government in unitary
  systems, lower levels of government have little
  power independent of the central government.
• Confederations, like the Articles of
  Confederation, reserve a great deal of power for
  lower levels of government.

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• Federal systems
• Under the Constitution, the United States has a
  federal system of government in which the
  national government shares power with lower
  levels of government.

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Federalism in the Constitution

• Consistent with the Framers desire to divide
  the powers of government, the Constitutions
  federal division of power can be understood as an
  attempt to limit the power of the national
  government.
• Madisons Double Security Federalist, No. 10
  No. 51
• Interior Provisions republican principle,
  extended republic
• Exterior Provisions separation of powers,
  federalism

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• Separation of Powers (the vertical separation)
• Protection from tyrannical government
• Slows pace of change

• Federalism (the horizontal separation)

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Constitutional Design of Federalism

• Enumerated (or Expressed) Powers Article I, Sec.
  8
• Necessary and Proper (or Elastic) Clause, Art. I,
  Sec. 8
• McCulloch v. Maryland (1819)
• Reserved Powers pursuant to the 10th Amendment
• Police powers, intrastate commerce, public
  health, safety and morals
• Full Faith and Credit Clause, Article IV, Sec I
• Privileges and Immunities Clause, Article IV,
  Sec. 2

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WHAT DO YOU THINK?

• How does dividing power between the national and
  the state governments work to protect citizens?
• What might be the disadvantages of federalism and
  the advantages of a unitary system?
• Did the Framers of the Constitution want a large
  federal government?

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The Changing Federal Framework

• There have been FOUR STAGES OF FEDERALISM
  throughout American history.

1789 1937
1960 1970 1990
I. DUAL II. COOPERATIVE
III. REGULATED IV. NEW FEDERALISM
FEDERALISM FEDERALISM
FEDERALISM
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STAGE 1 Dual Federalism (1789-1937)

• 1. Central government focused on promotion of
  commerce and distribution of resources.
• 2. States retain most remaining powers.

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Stage 1 Dual Federalism

• Power of the national government set forth in
  Article I, Section 8 of the Constitution
• Commerce clause
• necessary and proper clause
• McCulloch v. Maryland (1819)
• Gibbons v. Ogden (1824)

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Table 3.2
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STAGE 2 Cooperative Federalism
The national government would ensure state
cooperation with federal policies by offering
grants-in-aid.

• Block grants are given to states for general
  purposes and allow state officials greater
  discretion over how funds will be spent.

• Categorical grants are given to states for more
  specific purposes and most of the discretion
  remains in the hands of federal officials and
  officeholders.

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STAGE 3 Regulated Federalism (1960s-?)

• As state and local governments came to depend on
  grant-in-aid support, the national government
  further intervened in state government
  decision-making by threatening to withhold such
  grants. This is also known as COERCIVE
  FEDERALISM.

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STAGE 3 Regulated Federalism

• To regulate speed limits within states, the
  national government threatens to withhold federal
  transportation dollars thus coercing states to
  comply with federal mandates.

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Fig. 3.1
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STAGE 4 New Federalism (1969-?)

• The waning in some respects of Franklin
  Roosevelts New Deal coalition and programs
  sparks a counter-federal trend, known as NEW
  FEDERALISM, that begins to return discretion to
  the state and local governments.

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STAGE 4 New Federalism

• The new federalism trend of returning
  discretion to the states began in the executive
  branch as the Nixon, Carter, and Reagan
  Administrations gave states a larger role in
  administering federal policies.

• Beyond the White House
• In the 1990s both Congress and the federal
  Courts joined the new federalism revolution.

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Fig. 3.4
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STAGE 4 New Federalism

• The Republican takeover of Congress after the
  1994 elections led to a series of policies where
  the federal government devolved power to the
  states.
• Welfare reform is a good example of such
  devolution.

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STAGE 4 New Federalism

• In United States v. Lopez (1995) and United
  States v. Morrison (2000), the Supreme Court
  reversed its course by restricting its
  interpretation of what constituted interstate
  commerce to justify federal government
  involvement in the states.

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Stage 4 New Federalism

• we would have to pile inference upon inference
  in a manner that would convert congressional
  authority under the Commerce Clause to a general
  police power of the sort retained by the States.
  Admittedly, some of our prior cases have taken
  long steps down that road , but we decline to
  proceed any further.
• --Chief Justice William Rehnquist, writing for
  the majority in United States v. Lopez (1995)

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WHAT DO YOU THINK?

• How might federalism help promote the American
  value of liberty?
• How did a lack of national government control and
  an emphasis on states rights contribute to the
  continued lack of equality of African Americans?
• Where do you think the people have the most
  control over the government the national
  government or the states?

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