American Government (2207.110.01 & .04 RS)
Dr. B. Caswell (Fall 1998)

Constitutional Democracy:

  FEDERALISM and INTERGOVERNMENTALISM

Unit Objectives

1. To distinguish between federalism and other forms of government.

2. To outline how exigencies, politics, and judicial decisions have evolved a state-dominated early federalism into the modern nationalized system referred as intergovernmentalism.

3. To explain how grants-in-aid, conditions of aid, and mandates are used to impose national policies upon state and local government.

4. To recognize the consequences, good as well as bad, of Federalism for the administration of government in the U.S.

I. Federalism:    meanings and uses

     A. Political expediency of the Framers

     B. A form of constitutional government

          1. Confederation (decentralized): many sovereigns cooperating

          2. Unitary (centralized): one sovereign

          3. Federalism - "compound republic"

II. Federalism evolves into intergovernmentalism: commerce and rights

     A. Founding Federalism:

          1. The Federalist era, 1789-1801

          2. Dual Federalism, 1801 to 1830s

                 a. McCulloch v. Maryland (1819)

                 b. Barron v. Baltimore (1833), "dual citizenship"

     B. States rights era, 1830s to Civil War

          1. Dred Scott (1857) - states rights defense of slavery

          2. Intrastate commerce doctrine

     C. Early national era, 1860s-1930s

           1. Civil War and union principle

           2. 14th Amendment (1868), nationalizing rights

           3. States rights philosophy persists to defend segregation

           4. Sixteenth Amendment (1913)

     E. Cooperative federalism, 1936-1954

           1. 16th Amend. (1913), income tax finances larger nat. gov.

           2. Federal grants-in-aid (fiscal federalism, Edwards et al, pp. 67 and 75)

           3. "Commerce" redefined for nationalized economy (1937)

     F. Coercive federalism, 1954-present

           1. Brown (1954) begins "rights revolution" (re 14th Amendment)

           2. "War on Poverty" programs and social regulation (1960s)

           3. Garcia v. San Antonio Transit (1985) - "necessary and proper"

III. Institutions of Fiscal Federalism/Intergovernmentalism

     A. Division of functions and responsibilities

           1. Policy - national, sometimes cooperative

           2. Finance - shared (matching, formula)

           3. Administration - state/local

     B. Instruments of National coercion

           1. Categorical GRANTS-IN-AID ("free money" for national priorities)

           2. CONDITIONS OF AID (program specific, "categorical")

           3. CROSS-CUTTING conditions (not policy specific; across policies)

           4. CROSS-OVER SANCTIONS (policy unrelated to program)

           5. MANDATES (laws without "carrot," e.g. 1964 CRA)

IV. Current Issues in the Congress

      A. Unfunded mandates

      B. Block grants - "return to states"

      C. Attempt to reduce overall federal mandates

V. Advantages and disadvantages of intergovernmentalism

     A. (+) Flexibility: political and administrative

     B. (+) Local involvement (or illusion thereof)

     C. (-) & (+) "Intergovernmental lobby" demands higher national $

     D. (-) & (+) Expanded role of judiciary to resolve con. ques.

     E. (-) Loss of governmental accountability

     F. (-) Fiscal irresponsibility ("other people's money")

     G. (-) Corruption (re block grant philosophy?)