Chapter 3Chapter 3

FEDERALISM:FEDERALISM:

STATES AND STATES AND NATIONNATION

Welfare Reform and the Welfare Reform and the StatesStates

Aid to Families with Dependent Aid to Families with Dependent ChildrenChildren (AFDC) was established (AFDC) was established under the under the Social ActSocial Act of 1935. of 1935.• An entitlement program for children in poor, An entitlement program for children in poor,

mostly female-headed, familiesmostly female-headed, families• Eligibility rules and funding came from Eligibility rules and funding came from

national government, while the states national government, while the states administered the programadministered the program

The 1996 The 1996 Personal Responsibility and Personal Responsibility and Work Opportunity ActWork Opportunity Act

• gave the states much wider latitude to gave the states much wider latitude to create their own welfare programscreate their own welfare programs

• continued federal funding of welfare continued federal funding of welfare programsprograms

This interplay between national and state This interplay between national and state governments illustrates the dispersion of governments illustrates the dispersion of power in our federal system.power in our federal system.

Forms of GovernmentForms of Government FederalismFederalism — significant government significant government

powers are divided between the central powers are divided between the central government and smaller governmental unitsgovernment and smaller governmental units

ConfederationConfederation — constituent units or states constituent units or states retain ultimate authority and can veto major retain ultimate authority and can veto major actions of the central governmentactions of the central government

UnitaryUnitary — central government exercises all central government exercises all governmental powers and can change its governmental powers and can change its constituent unitsconstituent units

Federalism as a System of Federalism as a System of GovernmentGovernment

American federalism involves a American federalism involves a multiplicity of governing levels and multiplicity of governing levels and units.units.

Federalism is not a common way of Federalism is not a common way of organizing governments around the organizing governments around the world.world.

There are no neat boundaries among There are no neat boundaries among different forms of government.different forms of government.

The Roots of FederalismThe Roots of Federalism

Modern federalism is largely an Modern federalism is largely an American invention.American invention.

Most federal systems are found in Most federal systems are found in countries that are large and countries that are large and diverse.diverse.

Unitary government is the most Unitary government is the most common form of government common form of government today.today.

Federalism in the Federalism in the Constitution Constitution

Independent State PowersIndependent State Powers• Supremacy Clause Supremacy Clause

– Article VIArticle VI• Enumerated Powers Enumerated Powers

– Article I, Section 8Article I, Section 8• Reservation Clause Reservation Clause

– 10th Amendment10th Amendment

The States’ Roles in National The States’ Roles in National GovernmentGovernment•Amending the ConstitutionAmending the Constitution•House of RepresentativesHouse of Representatives•SenateSenate•Electoral CollegeElectoral College

Relations Among the StatesRelations Among the States•““privileges and immunities” (Article privileges and immunities” (Article

IV)IV)

The Evolution of American The Evolution of American FederalismFederalism

Despite many ebbs and flows in Despite many ebbs and flows in the relative power of the states the relative power of the states and national government, and national government, eventually the national eventually the national government gained ground.government gained ground.• Economic crises generate pressures for Economic crises generate pressures for

greater national government role.greater national government role.

• War also spurs greater national War also spurs greater national

government role.government role.

The Perpetual Debate About the The Perpetual Debate About the Nature of American FederalismNature of American Federalism

The Nationalist PositionThe Nationalist Position• Focus on:Focus on:

– ““supremacy clause”supremacy clause”– ““elastic”/ “necessary and proper elastic”/ “necessary and proper

clause”clause”

The States’ Rights PositionThe States’ Rights Position• Focus on: Focus on:

– ““dudu al federalism”al federalism”

Federalism Before the Civil Federalism Before the Civil WarWar

• Nullification effortsNullification efforts• The Marshall CourtThe Marshall Court

– McCulloch v. Maryland (1819)McCulloch v. Maryland (1819)– broad reading of necessary and proper broad reading of necessary and proper

clause (Article I, Section 8)clause (Article I, Section 8)

• Limiting and preempting the StatesLimiting and preempting the States– contract clause (Article I, Section 10)contract clause (Article I, Section 10)– preemptionpreemption

THE SLAVERY ISSUETHE SLAVERY ISSUE

•Missouri Compromise of 1820Missouri Compromise of 1820•Compromise of 1850Compromise of 1850•““Bleeding Kansas” (1854)Bleeding Kansas” (1854)•Democratic Party splits Democratic Party splits

(1860)(1860)

Effects of the Civil WarEffects of the Civil War

Indissoluble UnionIndissoluble Union Constitutional AmendmentsConstitutional Amendments

• 13th Amendment13th Amendment• 14th Amendment14th Amendment

– due process clausedue process clause– equal protection clauseequal protection clause

• 15th Amendment15th Amendment Emergency PowersEmergency Powers

Expanded National Activity Expanded National Activity Since the Civil WarSince the Civil War

The Late 19th Century to WWIThe Late 19th Century to WWI The New DealThe New Deal World War IIWorld War II The Post-War PeriodThe Post-War Period Supreme Court Support for Supreme Court Support for

NationalismNationalism

Resurgence of the States Resurgence of the States in the 1990’sin the 1990’s

Growing state share of public Growing state share of public spendingspending

Growing state share of public Growing state share of public employeesemployees

Growing popularity of “devolution”Growing popularity of “devolution” Role of the Rehnquist CourtRole of the Rehnquist Court Role of Clinton and the 104th Role of Clinton and the 104th

CongressCongress

Terrorism and the Resurgence of Terrorism and the Resurgence of the Federal Governmentthe Federal Government

The terrorist attacks of September 11, The terrorist attacks of September 11, 2001 and the subsequent war on 2001 and the subsequent war on terrorism helped refocus public terrorism helped refocus public attention on the national government.attention on the national government.

This tendency likely will be further This tendency likely will be further exaggerated by the perceived need exaggerated by the perceived need for homeland security.for homeland security.

““Marble cake”Marble cake” FederalismFederalism

Often used as a metaphor for Often used as a metaphor for cooperative federalismcooperative federalism

Elements of national and state Elements of national and state influence swirl around each other, influence swirl around each other, without clear boundaries. without clear boundaries.

National Grants-in-Aid to the National Grants-in-Aid to the StatesStates

Grants-in-aidGrants-in-aid are federal funds are federal funds allocated to states and local allocated to states and local governments.governments.

Origin and growth of grantsOrigin and growth of grants• 1787 Northwest Ordinance1787 Northwest Ordinance• 1900-1930s1900-1930s• 1950s-1970s1950s-1970s• 1980s1980s• 1990s1990s

Reasons for GrantsReasons for Grants• Externalities: “spillover effects”Externalities: “spillover effects”• Abundant National Government Abundant National Government

ResourcesResources• Local ProvisionLocal Provision

Categorical GrantsCategorical Grants The “New Federalism” (Nixon and

Ford)• block grantsblock grants• general revenue sharinggeneral revenue sharing

Debates About Federal Debates About Federal Money and ControlMoney and Control

Many contemporary facets of Many contemporary facets of federalism involve questions of federalism involve questions of money and control.money and control. • Conditions on aid — require states to require states to

spend grant money in certain ways if they spend grant money in certain ways if they want to receive federal fundingwant to receive federal funding

• Mandates — require the states to carry out require the states to carry out certain policies, even when little or no certain policies, even when little or no national government aid is involvednational government aid is involved

U.S. FederalismU.S. Federalism — Pro and ConPro and Con

PRO:PRO:• Diversity of NeedsDiversity of Needs• Closeness to the PeopleCloseness to the People• Innovation and ExperimentationInnovation and Experimentation• Training Ground for Women and Training Ground for Women and

Racial MinoritiesRacial Minorities

U.S. FederalismU.S. Federalism — Pro and Pro and ConCon

CON:CON:• The Importance of National The Importance of National

StandardsStandards• Low Visibility and Lack of Popular Low Visibility and Lack of Popular

ControlControl• Spillover Effects and Competition Spillover Effects and Competition