Download Chapter 5: Federalism

Chapter 5: Federalism
Learning Objectives
After reading and studying this chapter, students should be able to:
Define federalism and analyze the theories that underlie this concept.
Discuss the political struggles between states and the federal government throughout
American history.
Specify the limits of federal power.
Assess the impact of the Supreme Court and the administrative state on the principles of
federalism.
Define mandates, block grants, and process federalism.
Outline the development of federalism in the 19th and 20th centuries.
Discuss the impact of federalism on civil rights.
Chapter Summary
This chapter illustrates the complexities of the American system of federalism. In the
United States arguments about what government should do are frequently arguments over
which level of government should have ownership over a particular policy area. These
arguments about the relative power of the national and state governments have normally
sprung from the disputes over liberty and democracy. Those in favor of a strong national
government have traditionally been wary of the threat to liberty posed by small political
units of power. Those in favor of a weak national government defend states and localities
as symbols of democracy resisting the threat of a tyrannical centralized power.
In the early years of the republic, the federal government struggled for supremacy.
Thomas Jefferson and his Republican followers promoted a conception of the nation as
an empire of liberty ruled not from a central political and financial capital, but based
upon the ideals of life, liberty and the pursuit of happiness. Jefferson did not oppose all
federal forms of intervention in the affairs of state and he advanced a type of federalism
called cooperative federalism. This theory allowed the federal government to assist states
in those endeavors that states would have pursued without federal intervention, such as
the creation of institutions of higher education and the building of canals and roads.
Jefferson's successors, the Democrats under Andrew Jackson, saw an even more limited
sphere for federal power. Unlike Jefferson, however, Jackson was hostile to the compact
theory that held the union to be a mere compact among sovereign states. Jackson
believed the union reigned supreme, if only in its very limited area of responsibilities.
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Alexander Hamilton took up the defense of federal power and was aided greatly by Chief
Justice John Marshall who advanced a strong defense of federal power in a series of
Supreme Court opinions spanning thirty-five years. In cases such as McCulloch v.
Maryland and Gibbons v. Ogden, Marshall established federal supremacy over the states.
But slavery, the Civil War, and the era of Reconstruction would seriously challenge this
doctrine. Like Marshall, Abraham Lincoln would further the cause of federal supremacy
before and during the Civil War. Lincoln's legacy, the 13th, 14th, and 15th Amendments to
the Constitution permanently changed that document to reflect the supreme role of the
federal government in securing civil and political rights for all Americans. But the
failure of the federal government to continue to protect the rights of newly freed slaves in
the latter years of Reconstruction and the consequent rise of Jim Crow laws, was a
powerful symbol of the shaky ground upon which federal power stood.
The twentieth century would witness a renewed push to strengthen the power and
authority of the federal government. Unlike movements on behalf of federal power in the
nineteenth century, the federal government would withstand threats to its authority and
emerge more powerful than early champions such as Hamilton and Marshall could have
imagined. The impact of the Progressive movement, the New Deal of Franklin
Roosevelt, and the civil rights era would redefine federalism. Shorn of its administrative
weakness, and political illegitimacy in eyes of advocates of democracy, the federal
government would increasingly become involved in those policy areas traditionally left to
the states: education, health care, social welfare, pollution control, redistricting, and
ensuring civil and political rights.
Major Concepts
Compact Theory
Decentralized republic
Empire of liberty
The Morrill Act of 1862
Cooperative federalism
McCulloch v. Maryland
Gibbons v. Ogden
Nullification
Reconstruction
Freedman's Bureau
Jim Crow
Laissez-Faire
Suburbs
Progressive Movement
Administrative State
Federal mandate
Clean Air Act
Process federalism
Aid to Family with Dependent Children
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Sovereign Immunity
The Personal Responsibility and Work Opportunity Reconciliation Act of 1996
Block grants
Smart Growth
Lecture Outline
This chapter begins with the Supreme Court case Lopez v. United States. The Justices
declared the Gun Free School Zones Act of 1990 an unconstitutional infringement by the
federal government on the affairs of the states. The authors claim "In America, disputes
over what the government ought to do frequently turn in to disputes over where the
decision should be made."
I. The Decentralized Republic
The grand republic envisioned by the framers was to be decentralized to allow for
maximizing of personal liberty.
A. Federalists and Federalism
Though they accepted limits on federal power, the Federalists believed the Constitution
gave ample authority to the national government and they advocated an unabashed
elitism that would allow the distant federal government to be stable and effective.
B. The Compact Theory
The Republicans held to the compact theory, that the union was a compact of the "people
of the several states." This theory challenged the supremacy of the federal government
C. An Empire of Liberty
Thomas Jefferson feared that the center of power in the United States, whether it be New
York or Philadelphia, would attempt to exert control over the nation. Jefferson foresaw
an "empire of liberty" that would be governed not by a central power but a the principles
of life, liberty, and the pursuit of happiness. This empire would be held together by free
and open commerce, thus Jefferson's further hostility to any attempt to create an
economic elite. This commitment led the Republicans to oppose Hamilton's plans for a
National Bank.
D. Cooperative Federalism
The Republican hostility to centralized power did not lead to a wholesale repudiation of
the powers of the federal government. Jefferson and his allies supported federal efforts to
build canals and roads, to provide veteran's benefits, to improve waterways. Cooperative
federalism built on the principle of a non-coercive, cooperative federal government that
provided assisted to states as they engaged in things they wanted to do anyway. The
Morrill Act of 1862 and the establishment of the American system of state universities
and colleges is an example of cooperative federalism.
II. The Struggle for Federal Supremacy
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The period between the election of Andrew Jackson to Reconstruction resulted in the
preservation of the Union but at a high political cost.
A. The Supreme Court- Defender of National Supremacy
During the Jacksonian era, Chief Justice John Marshall and President Andrew Jackson
took up the Hamilton and Jeffersonian positions. In McCulloch v. Maryland and Gibbons
v. Ogden, the Supreme Court furthered Hamilton’s view of federal supremacy and free
interstate trade.
B. The Democratic Localist Revolution
Jackson went much further than his Republican forebears in decentralizing political
power. He vetoed the Charter for the Second National Bank and opposed federal
projects, such as building the Maysville Road in Kentucky.
C. Federal Supremacy Challenged
Jackson did not subscribe to the compact theory of federalism and believed that though
the power of the federal government ought to be extremely limited, within its sphere of
power it reigned supreme. Thus did he forcefully respond to threats of nullification by
proclaiming his willingness to use federal troops.
D. Slavery and National Supremacy
The slavery controversy caused a massive upheaval over the issue of state/federal power.
By the 1850s, the Missouri Compromise of 1820 was abandoned, as the call for “popular
sovereignty” was heard. Each state would be allowed to decide for itself if it wanted
slavery within its borders. Opposing this concept was Abraham Lincoln, who built on
Jackson’s defense of the primacy of the Union and linked the survival of the Union to the
defense of human liberty.
E. The Limits to Federal Supremacy
The Civil War ended with the establishment of federal supremacy to end slavery, through
the 13th, 14th, and 15th Amendments to the Constitution. But Reconstruction efforts were
half-hearted and constantly thwarted. It finally ended in the disputed election of 1876
and the civil and political rights of African-Americans remained unfulfilled for 100 years.
F. Jim Crow
The Supreme Court abandoned its course under John Marshall and refused to sanction the
southern states that refused to protect the civil and political rights of former slaves. Thus
the era of Jim Crow allowed the forced segregation of the races, with black Americans
relegated to second-class citizenship.
G. Laissez Faire
The resistance to federal power extended to economic life as the American people, tired
of the expansion of governmental authority in war, sought to curtail governmental power
in private life. This concept extended to the state governments as well.
H. The Exception to Laissez Faire
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Local governments filled the political void left by the retrenchment of the state and
federal governments. Cities raised more taxes and spent more money than the state and
federal governments combined and city leaders in the metropolitan areas of the northeast
and Midwest increasingly dominated national politics.
I. Suburbs
A new political entity emerged during the latter part of the nineteenth century and early
twentieth century, fueled by the expansion of railroad and trolley lines and the growth of
suburbs.
III. Federalism Redefined
During the twentieth century, the supremacy of the federal government, promised by the
initial aftermath of the Civil War, became a fact of political life.
A. Progressivism
Progressives organized in opposition to the laissez faire philosophy of the post-Civil War
era. The rise of massive corporations was a testament to the power private
organizations held in public life and the Progressives believed that only a revitalized
federal government could curb such power. This movement led the way for the creation
of the Pure Food and Drug Act of 1906 and the Sherman and Clayton Antitrust Acts of
1890 and 1914. Progressivism also laid the groundwork for Franklin Roosevelt’s New
Deal.
B. The Administrative State
The rise of the New Deal administrative state did not displace the states. Administrative
government enhanced the states, as they emerged from the New Deal with far greater
capacities to handle the expectations of the modern welfare stated.
C. The Civil Rights Legacy
The success of the civil rights movement in the 1950s and 1960s in overcoming state
resistance to national intervention led to more rights based social movements that sought
to extend national authority over issues such as education, redistricting, and pollution
control.
D. One Person One Vote
In the name of equality, the Supreme Court extended the national government’s reach
into voting rights not directly involved with race. It removed localities as organizing
principles of political representation.
E. Mandates
Cooperative federalism took a much different tone in the late twentieth century as the
federal government no longer provided a policy model for the states but placed
increasingly difficult demands on the states to provide certain types of policies and
expenditures or face sanction. In areas such as pollution control and education, federal
policy became permeated with the claims of rights and strict federal mandates on states
that diminish democratic control over significant areas of public policy.
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F. The High Tide of Process Federalism
By 1985 in the case Garcia v. San Antonio Metropolitan Transit Authority, the Supreme
Court gave its endorsement to the intrusion of the federal government into any policy
area that had previously been the responsibility of states and localities. The Court
developed a theory of process federalism that declared that if the United States Senate,
whose members are chosen by states, does not object to such an imposition of national
power, it is to be considered legitimate under the 10th Amendment.
G. The Tide of Process Federalism Recedes
The Court, as demonstrated in the Lopez case, has moved away from this theory of
process federalism and has breathed new life into the principle of enumerated powers.
For example, in Seminole Tribe v. Florida, the Court interpreted the 11th Amendment to
mean that states have sovereign immunity protection against citizens suing the state in
federal courts.
IV. The New State of the States
States have made great advances administratively and technologically since the Civil
Rights era.
A. Federalism and Education Revisited
Despite the presence of the national government in educational issues, glaring differences
remain between states and between localities within states. Recently, states have
attempted to reduce their reliance on property taxes to fund education in order to reduce
the disparities between rich and poor school districts.
B. “Smart Growth”
States have taken the lead in proposing “smart growth” initiative to reduce sprawl. States
are far better positioned than the national government or local governments to deal with
land use issues.
C. Welfare
Since the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 was
signed into law by President Clinton, many states have taken advantage of the increased
flexibility of welfare rules to deal more effectively with the problem of poverty and
welfare.
D. Governors and Attorney’s General
Governors and Attorneys General of the states have become prime innovators of public
policy in the 1990s, a far cry from their symbol as obstructionists during the Civil Rights
era. State leaders were the prime actors behind welfare reform and the tobacco
settlement of 1998.
E. The Empire of Liberty Reinvigorated
The state of city and state government was much decried in the 1970s but by the 1990s
there had been a rebirth of urban American and a regeneration of state government.
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Fueled by immigration and prosperity, cities and states began the twenty-first century as
revitalized political units of power.
V. Conclusion: The Inspiration of Federalism
The electoral fiasco of the 2000 presidential election demonstrated the high price
Americans pay for a federal system. Yet, the presence of local units of power allows
Americans to enjoy enormous freedoms and the model of federalism has come to be
viewed as others around the world as one to be admired and copied.
Alternate Lecture Topics
Begin a lecture by exploring what it means to have a federal system, as opposed to a
confederation or unitary system. Introduce students to the differences by contrasting a
federal system such as the United States with a federal system such a Canada, a
confederate system such as the European Union, and a unitary system such as the United
Kingdom.
Focus on one of the many Supreme Court cases presented in this chapter, for example the
case of McCulloch v. Maryland. Focus on Chief Justice John Marshall's expansion of the
powers of the national government, which followed from a broad reading of the
"necessary and proper" clause. Begin with a question posed to the students and future
generations of Americans that would haunt the Anti-Federalists: After Marshall’s opinion
in McCulloch v. Maryland what, if anything, was Congress forbidden to do?
Chapter Boxes, Figures and Tables
Figure 5-1 - Federalism as a Governing System
Box 1 - Civil Liberties: “Live Free or Die”
Figure 5-2 - Federal Aid to the States
Box 2 - Contemporary Public Policy: Taxing the Internet
Table 5-1 - Population of the 20 Largest Cities in 2000
Box 3 - Civil Rights: Portraits and Flags
Figure 5-3 - Population Growth of the States 1990-2000
Suggestions for Course Projects
Federalism can be made real by focusing on a single public policy issue, such as the
creation of alternative energy sources such as wind farms or the disposal of nuclear
waste. Deciding where to place massive wind farms to produce renewable energy or what
to do with radioactive waste from nuclear facilities is a source of much debate in
Congress and various state capitals. Protests against both issues have taken the
characteristic of NIMBY (not in my back yard), as some states and localities have
resisted proposals for wind farms and nuclear waste storage sites. Students can explore
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both debates and the characteristic of NIMBY arguments from the perspectives of the
Antifederalists and the consequences of federal energy policies.
Students could contact a local city councilor, selectman, mayor, or county official. They
should try to arrange to discuss with an official the range of local programs funded at
least in part by the state or national government. Invite a local official to class to discuss
areas of cooperation and areas where one level of government “owns” a policy.
Encourage students to create a timeline of federalism, beginning with the ideas of
Jefferson and Hamilton and continuing through the slow demise of process federalism.
Ideas, dates, and important figures can be included.
Resource List
Books
Samuel H. Beer, To Make a Nation: The Rediscovery of American Federalism (Harvard
University Press, 1993)
Timothy Conlon, From New Federalism to Devolution (Brookings Institution, 1998)
Martha Derthick, Keeping the Compound Republic: Essays on American Federalism
(The Brookings Institute, 2001)
Alan Ehrenhalt, Democracy in the Mirror: Politics, Reform, and Reality in Grassroots
America (Congressional Quarterly Press, 1998)
Daniel Elazar, American Federalism: A View from the States 3rd Edition (Harper and
Row, 1984)
Stanley Elkins and Erik McKitrick, The Age of Federalism: The Early American
Republic, 1788-1800 (Oxford University Press, 1994)
Michael S. Greve, Real Federalism: Why it Matters, How it Could Happen (American
Enterprise Institute, 1999)
Morton Grodzins, The American System (Rand McNally, 1966)
R. Shep Melnick, Between the Lines: Interpreting Welfare Rights (Brookings Institute,
1994)
Laurence J. O'Toole, Jr., American Intergovernmental Relations, 3rd ed. (Congressional
Quarterly Press, 2000).
Paul Peterson, Barry G. Rabe, and Kenneth K. Wong, When Federalism Works
(Brookings Institute, 1986)
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David B. Walker, The Rebirth of Federalism, 2nd. Edition (Chatham House Publishers,
2000).
Internet
National Governor’s Association
www.nga.org
The Council of State Governments
http://www.csg.org/csg/default
The U.S. Conference of Mayors
http://www.usmayors.org/
The National Association of Counties
http://www.naco.org/
The Center for the Study of Federalism at Temple University
http://www.temple.edu/federalism/
The Federalism Project
http://www.federalismproject.org/
Publius: The Journal of Federalism
http://ww2.lafayette.edu/~publius/
Films
"Marbury v. Madison," Films for the Humanities and Sciences.
"McCulloch v. Maryland," Films for the Humanities and Sciences.
"Gibbons v. Ogden," Films for the Humanities and Sciences.
"Testing Our Schools," PBS Frontline
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