The Government of the USA
What is a constitution? Tutorial 1
A constitution is a set of rules that identifies the following:
History
The American War of Independence (1775 – 1783) was fought over the issue of taxation without representation. James Otis, who advocated ‘patriot’ views against the British, said “Taxation without representation is tyranny”. The 13 colonies were being taxed on their produce (chiefly tea, tobacco and cotton) without representation in Parliament. In the United States the American War of Independence is known as the American Revolution.
In 1776 the 13 states (former colonies) issued a Declaration of Independence. This represented a break from the tyranny of King George, which the former colonists saw as a form of absolutism.
During the war the Articles of Confederation were written (1777). This was an agreement between the 13 original states and established the rules of the Continental Congress. In effect this was the United States’ first constitution. It represented the first fundamental law of the United States. Note: a fundamental law is a codified constitution which cannot be contradicted by other laws.
Immediately after the war there was no desire among the newly independent states to create a new nation. The farmers who fought the war returned to their land and settled to work in each of the separate sates. Congress continued to meet, but it soon became apparent that a new national, or Federal, government was required.
Recognising the limitations of the Articles of Confederation, which were more limited in ambition and scope, the Founding Fathers came together in Philadelphia in 1787 to write what is now the Constitution of the United States. The meeting is known as the Philadelphia convention. This established a Federal executive and a Supreme Court as well as Congress.
The constitution which they produced was written in 7000 words. In its original form it included seven articles, the first three of which describe the separation of powers (based on Montesquieu’s theory). Article I describes Congress; Article II the President (Executive); and Article III the Supreme Court (Judiciary). The idea of a constitution limiting the powers of government echoes classical liberal thought of John Locke and Montesquieu.
The constitutional powers of the executive were originally very limited. They were as follows:
Federal Government powers (1787):
Foreign Policy & Defence
Weights & Measures
Coinage
Territorial Disputes
Postal Services
Relations with Native American Indians
Since 1787 it has been amended just 27 times. The first 10 amendments were written by James Madison and passed in 1791. They form the Bill of Rights. They were written because the smaller states, such as Rhode Island and Delaware, feared that the larger, more populace states would ‘drown out’ their smaller voices in any Federal system of government. By protecting the rights of individual citizens from the potential tyranny of the larger states, smaller states finally agreed to sign up to the experiment of a new nation: the United States of America.
The Constitution is revered (admired and valued) by the American people.
Since the Bill of Rights, subsequent amendments to the constitution have extended the rights of US citizens. For example, the 13th Amendment (1865) ends slavery, the 14th amendment provides a right to privacy, and the 15th amendment provides all citizens with the right to vote.
The United States has changed significantly since 1787. The population was 3 million, now 300 million; there were 13 States (former colonies), now 50; it operates across 6 time zones; it has become a ‘melting pot’ of immigration; it embraces the ‘American dream’ (that if you work hard you can achieve anything in a meritocratic America); it promotes ‘American exceptionalism’ (the idea that the United States is an exceptional society and its liberal democratic values should be imprinted on the rest of the world); and it has a federal structure of government which recognises the autonomy of the States. However, its citizens are cynical about Washington politicians and those who work in Capitol Hill, the seat of government, within the inner ring road in Washington, known as the Beltway, are said to suffer from the ‘Beltway Blues’ (ie, they feel unloved).
Test yourself on the history of the US Constitution
What were the Articles of confederation and what did they represent?
What was the Philadelphia Convention and what did it establish?
What do the first three Articles of the Constitution describe?
What was the significance of the Bill or Rights?
What is American exceptionalism?
What is the American dream?
What are the Beltway blues?
Why is the US described as a ‘melting pot’?
The importance of the constitution: tutorial 2
1. It is a fundamental law.
2. It is the source of, but also a limitation on, the power of government
3. It provides for strong government, but also protects individual rights
4. It gives autonomy to the states
5. It is codified in a single document and entrenched
6. It is revered by citizens
(In the United States there is constitutional sovereignty, whereby the constitution is the highest legal authority in the USA, unlike in the UK where Parliament is sovereign with no separate constitutional law. The US constitution provides the framework for government and everything must comply with its principles and rules. It is a ‘fundamental law’)
Key principles
There are five main principles evident in the constitution
The theory of separation of powers implies independence of the branches of government. It implies that there should be separation of personnel, with no overlap between the three branches. This is why Barack Obama and Hillary Clinton, for example, had to give up their Senate seats when becoming president and secretary of state.
However this theory also implies the interdependence of the branches of government through the checks and balances placed on each of them, particularly the legislative and executive branches, to prevent anyone from becoming too powerful. Neustadt described it as ‘separate institutions sharing powers’ (useful quote). This is because, for example, the president cannot pass legislation without the help of Congress and vice versa.
Criticisms of the US Constitution:
The political scientist, Neustadt, says it is an ‘invitation to struggle’ (useful quote) between the institutions of government
It creates institutional gridlock (it is hard to pass legislation). This is particularly when there is divided government in Washington: for example, after the mid-term elections of 2006 and also after 2010 with the branches controlled by different parties (encouraged by the constitutional provision of staggered elections). It is likely that this was the intention of the Founding Fathers, who wished to restrain the exercise of power and avoid its concentration in the executive branch. Many have argued that this has led to weak government, inertia and difficulty in making decisions, especially controversial ones such as the inability to reach consensus on deficit reduction measures in 2011 and the Federal budget in 2014, leading to government shutdown.
It is rigid (hard to amend); in this regard the second amendment, the right to bear arms, has been particularly problematic.
An alternative argument, however, is that the system means that the branches of government must work cooperatively for anything to be done, and that this leads to more consensus seeking, negotiation, bargaining and compromise to achieve common goals and solutions.
Test yourself on the importance of and principles of the US constitution
Identify three reasons why the US constitution is important.
Identify three key principles of the US Constitution.
Identify three criticisms of the US constitution
What did Jefferson say about government?
Checks and balances in the USA: Tutorial 3
The following are some examples of the checks and balances in the system:
So the branches of US government can constrain each other’s powers
Test yourself on checks and balances
Identify five checks and balances within the US system of government.
What was the importance of Marbury vs Madison (1803)?
What was the importance of Mucculloch vs Maryland (1819)?
Constitutional Change: Tutorial 4
An important discussion is the extent to which the US Constitution is rigid or flexible.
The founding fathers recognised the need to safeguard the constitutional from the whims of ‘temporary’ governments and so the constitution was deliberately made difficult to change. Nevertheless, it would not be correct to describe it as rigid; indeed it has been described as a living document, still relevant today.
Amending the Constitution
Article V sets out how the constitution can be amended:
Two (formal) ways:
The first way requires the support of 2/3 both Houses of Congress; then ¾ state legislatures must ratify the amendment (38 states). All 27 amendments have been successfully introduced this way.
Or
A National Convention called by 2/3 States; then ¾ state legislatures ratify the amendment. This method has never been successful!
Also two (informal) ways:
Supreme Court interpretation
These are known as ‘interpretive amendments’: eg the eight amendment forbids ‘cruel & unusual punishment’. But what does this mean? In the case of Baze v Rees, 2008, an attempt was made to challenge the constitutional validity of the death penalty on the basis that it was a ‘cruel and unusual punishment’. The attempt, like all attempts before it, failed.
Chief Justice Hughes said in 1909: ‘the constitution is what the judges say it is’
The US Constitution is a short, vague document, deliberately made so by the Founding Fathers in order that it would endure (because it can be interpreted). The amendments are also written in general rather than specific language: for example the 14th Amendment provides ‘equal protection of the laws’.
The Supreme Court has the job of interpreting of the meaning of the words of the constitution and its amendments. Cases of constitutional importance may be brought to the Supreme Court (note, it cannot commission cases itself). More liberal Justices (known as ‘loose constructionists’, may interpret the constitution more liberally; where as more conservative Justices, known as ‘strict constructionists’, or ‘originalists’, may prefer to be guided in their judgements by the precise original wording of the constitution.
Thus, the same phrases in the constitution may be interpreted differently at different times and in different circumstances; for example, the phrase ‘equal protection of the laws’ in the 14th amendment was interpreted one way in the Plessy v Ferguson case (1896), but very differently in the Brown v Board of Education of Topeka case (1954). Plessy v Ferguson ruled that racial segregation was constitutionally permissible under the 14th Amendment, whereas Brown vs the Board of Topeka use the same clause to rule segregation as unconstitutional!
The growth of presidential powers from the 1930’s and the shift of authority from state to federal government are similarly the result of Supreme Court interpretation of the constitution.
The constitution is therefore more flexible and less rigid than is commonly thought. The US government has been able to evolve and adapt in response to new challenges and demands that have arisen through changing conditions and circumstances, such as civil war, great depression, foreign wars including the ‘war on terror’, Watergate and presidential impeachment.
Change by Conventions
The emergence of EXOP and the Cabinet and the growth of the executive are not mentioned in the constitution. Many of the ways in which government in the USA today actually works in practice are not in the constitution and have no constitutional status. Rather, they have evolved to fill in the gaps where the constitution is silent.
Examples of successful & failed amendments:
Strengths of the Constitution
It is entrenched (difficult to change). It therefore cannot be changed on a whim and amendments are unlikely to be ill-conceived)
It avoids too much power in one branch of government (separation of powers)
Rights are understood by citizens
It is flexible (it can be amended)
Its provisions safeguarded by an independent Supreme Court
The constitution is revered by American citizens: there is no pressure for change from citizens who are happy with their constitution.
Weaknesses of the US constitution
It is rigid (compared to UK constitution, which has “no extraordinary means of amendment”)
It (arguably) gives judges too much power (interpreting a codified constitution in the Supreme Court)
It has allowed the growth of unchecked Presidential power (the so-called imperial presidency from 1939-74)
It causes gridlock (A joke often made is that: ‘The opposite of progress is Congress’).
Test yourself on Constitutional change
Identify two formal ways in which the constitution can be changed.
Identify two informal ways in which the constitution can be changed.
Identify three examples of successful amendments.
Identify two examples of unsuccessful amendments.
Identify two strengths of the constitution.
Identify two weaknesses of the constitution
The Constitution and Federalism: Tutorial 5
The word ‘federalism’ does not appear in the US constitution. It is, however, implicit in the 10th Amendment, the last amendment in the Bill of Rights. This reserves all other rights for
the States.
Federalism also implicit in:
'Dual’ federalism: 1787-1930s; aka 'Layer Cake Federalism'. In this the Federal Government had limited responsibilities which were entirely separate to the states' (eg Virginia; North Carolina; etc) administration.
‘Cooperative’ federalism: 1930s - 1960s; aka 'Marble Cake Federalism'. This came about as a result of Roosevelt's New Deal. It involved the Federal Government providing money to the states in order to boost economic growth (Keynesianism).
'Creative’ federalism: mid-1960s - early-1970's; aka 'Picket Fence' Federalism. This came about as a result of Jonson's 'Great Society'. It involved targeted funding given by the Federal Government, often to specific states' projects, in order to create affirmative action. The funding was much more focused on specific projects than under 'Creative Federalism'.
‘New’ Federalism: early-1970s - 2000s; aka 'On Your Own' Federalism. This was begun by Nixon, but its biggest proponent was Reagan. It was an attempt to reduce the power of Washington and to reassert the autonomy of the individual states. Ironically during this period, into the G.W. Bush area, the funding and scope of the central Federal government grew (eg the Dept of Homeland Security).
'Assertive’ or ‘coercive’ federalism: 2000s to present. This is not yet fully recognised. It involves the growing assertion of Federal government in domestic issues, eg The 'No Child Left Behind Act' (G.W. Bush's attempt to address literacy failings in school) and 'The Affordable Care Act' (Obamacare). Trump's pronouncements on gun control (though not entirely clear), his steel tariff and his Mexican wall project might be further evidence of this trend.
Advantages & Disadvantages of Federalism
Test yourself on federalism
What is ‘dual’ federalism?
What was ‘cooperative’ federalism?
What was ‘creative’ federalism?
What was ‘New’ Federalism?
What is ‘assertive’ or ‘coercive’ federalism?
Extension questions on the Constitution:
Explain the importance of the separation of powers in the US system of government.
Explain the importance of the Bill of Rights in the USA.
Explain the concept of fundamental law in the USA.
Examine the process involved in amending the US Constitution
Explain the principle of checks and balances in the US system of government.
The Constitution of the USA was designed to resist change. Discuss.
Assess the significance of federalism in the USA
Assess the view that the US Constitution ensures limited government.
‘The separation of powers hinders effective government in the USA.’ Discuss.
‘Far from being rigid, the US constitution is remarkably flexible’. Discuss.
‘The Constitution no longer works as the Founding Fathers intended.’ Discuss.
What is a constitution? Tutorial 1
A constitution is a set of rules that identifies the following:
- The structure of government
- The role, power and functions of the institutions of government
- The rights of citizens
History
The American War of Independence (1775 – 1783) was fought over the issue of taxation without representation. James Otis, who advocated ‘patriot’ views against the British, said “Taxation without representation is tyranny”. The 13 colonies were being taxed on their produce (chiefly tea, tobacco and cotton) without representation in Parliament. In the United States the American War of Independence is known as the American Revolution.
In 1776 the 13 states (former colonies) issued a Declaration of Independence. This represented a break from the tyranny of King George, which the former colonists saw as a form of absolutism.
During the war the Articles of Confederation were written (1777). This was an agreement between the 13 original states and established the rules of the Continental Congress. In effect this was the United States’ first constitution. It represented the first fundamental law of the United States. Note: a fundamental law is a codified constitution which cannot be contradicted by other laws.
Immediately after the war there was no desire among the newly independent states to create a new nation. The farmers who fought the war returned to their land and settled to work in each of the separate sates. Congress continued to meet, but it soon became apparent that a new national, or Federal, government was required.
Recognising the limitations of the Articles of Confederation, which were more limited in ambition and scope, the Founding Fathers came together in Philadelphia in 1787 to write what is now the Constitution of the United States. The meeting is known as the Philadelphia convention. This established a Federal executive and a Supreme Court as well as Congress.
The constitution which they produced was written in 7000 words. In its original form it included seven articles, the first three of which describe the separation of powers (based on Montesquieu’s theory). Article I describes Congress; Article II the President (Executive); and Article III the Supreme Court (Judiciary). The idea of a constitution limiting the powers of government echoes classical liberal thought of John Locke and Montesquieu.
The constitutional powers of the executive were originally very limited. They were as follows:
Federal Government powers (1787):
Foreign Policy & Defence
Weights & Measures
Coinage
Territorial Disputes
Postal Services
Relations with Native American Indians
Since 1787 it has been amended just 27 times. The first 10 amendments were written by James Madison and passed in 1791. They form the Bill of Rights. They were written because the smaller states, such as Rhode Island and Delaware, feared that the larger, more populace states would ‘drown out’ their smaller voices in any Federal system of government. By protecting the rights of individual citizens from the potential tyranny of the larger states, smaller states finally agreed to sign up to the experiment of a new nation: the United States of America.
The Constitution is revered (admired and valued) by the American people.
Since the Bill of Rights, subsequent amendments to the constitution have extended the rights of US citizens. For example, the 13th Amendment (1865) ends slavery, the 14th amendment provides a right to privacy, and the 15th amendment provides all citizens with the right to vote.
The United States has changed significantly since 1787. The population was 3 million, now 300 million; there were 13 States (former colonies), now 50; it operates across 6 time zones; it has become a ‘melting pot’ of immigration; it embraces the ‘American dream’ (that if you work hard you can achieve anything in a meritocratic America); it promotes ‘American exceptionalism’ (the idea that the United States is an exceptional society and its liberal democratic values should be imprinted on the rest of the world); and it has a federal structure of government which recognises the autonomy of the States. However, its citizens are cynical about Washington politicians and those who work in Capitol Hill, the seat of government, within the inner ring road in Washington, known as the Beltway, are said to suffer from the ‘Beltway Blues’ (ie, they feel unloved).
Test yourself on the history of the US Constitution
What were the Articles of confederation and what did they represent?
What was the Philadelphia Convention and what did it establish?
What do the first three Articles of the Constitution describe?
What was the significance of the Bill or Rights?
What is American exceptionalism?
What is the American dream?
What are the Beltway blues?
Why is the US described as a ‘melting pot’?
The importance of the constitution: tutorial 2
1. It is a fundamental law.
2. It is the source of, but also a limitation on, the power of government
3. It provides for strong government, but also protects individual rights
4. It gives autonomy to the states
5. It is codified in a single document and entrenched
6. It is revered by citizens
(In the United States there is constitutional sovereignty, whereby the constitution is the highest legal authority in the USA, unlike in the UK where Parliament is sovereign with no separate constitutional law. The US constitution provides the framework for government and everything must comply with its principles and rules. It is a ‘fundamental law’)
Key principles
There are five main principles evident in the constitution
- Representative and accountable government Members of the House of Representatives are elected every 4 years for the president; Senators every 2 years (directly elected since 1913)
- The separation of powers (Montesquieu): the first 3 Articles of the constitution delineate these; there are further checks and balances
- A federal structure of government
- Limited government, with the Bill of Rights which protects the rights of citizens against government tyranny; Madison said: ‘If men were angels, no government would be necessary’ (useful quote). The constitution also implies a Federal structure, which further limits government.
- The constitution also provides for due process of the law. This includes the protection of ‘fundamental rights’, including abortion, privacy and an expansion of minority rights.
The theory of separation of powers implies independence of the branches of government. It implies that there should be separation of personnel, with no overlap between the three branches. This is why Barack Obama and Hillary Clinton, for example, had to give up their Senate seats when becoming president and secretary of state.
However this theory also implies the interdependence of the branches of government through the checks and balances placed on each of them, particularly the legislative and executive branches, to prevent anyone from becoming too powerful. Neustadt described it as ‘separate institutions sharing powers’ (useful quote). This is because, for example, the president cannot pass legislation without the help of Congress and vice versa.
Criticisms of the US Constitution:
The political scientist, Neustadt, says it is an ‘invitation to struggle’ (useful quote) between the institutions of government
It creates institutional gridlock (it is hard to pass legislation). This is particularly when there is divided government in Washington: for example, after the mid-term elections of 2006 and also after 2010 with the branches controlled by different parties (encouraged by the constitutional provision of staggered elections). It is likely that this was the intention of the Founding Fathers, who wished to restrain the exercise of power and avoid its concentration in the executive branch. Many have argued that this has led to weak government, inertia and difficulty in making decisions, especially controversial ones such as the inability to reach consensus on deficit reduction measures in 2011 and the Federal budget in 2014, leading to government shutdown.
It is rigid (hard to amend); in this regard the second amendment, the right to bear arms, has been particularly problematic.
An alternative argument, however, is that the system means that the branches of government must work cooperatively for anything to be done, and that this leads to more consensus seeking, negotiation, bargaining and compromise to achieve common goals and solutions.
Test yourself on the importance of and principles of the US constitution
Identify three reasons why the US constitution is important.
Identify three key principles of the US Constitution.
Identify three criticisms of the US constitution
What did Jefferson say about government?
Checks and balances in the USA: Tutorial 3
The following are some examples of the checks and balances in the system:
- The President can nominate personnel to the executive and judiciary, but the Senate must ratify appointments under its Advice & Consent powers. In 1939, faced with a Congress sympathetic to New Deal, but a hostile Supreme Court, Roosevelt threatened ‘court packing’: appointing enough Justices to ensure no Supreme Court ruling would ‘strike down’ to his programme.
- The president can negotiate treaties, but the Senate must ratify them (note: the Sebate did not ratify the Versailles Treaty)
- Congress has legislative power but this is checked by the presidential veto
- The presidential veto is checked by the use of a congressional override with a two-thirds majority in both houses
- The Supreme Court can rule that laws passed by Congress and actions of the Executive are unconstitutional through its power of judicial review, since the 1803 Marbury v Madison case. In Mucculloch v Maryland (1819) the Supreme Court further established its right to declare unconstitutional laws and executive actions in the States.
- The president is the commander-in-chief of the armed forces but only Congress can declare (and fund) war
So the branches of US government can constrain each other’s powers
Test yourself on checks and balances
Identify five checks and balances within the US system of government.
What was the importance of Marbury vs Madison (1803)?
What was the importance of Mucculloch vs Maryland (1819)?
Constitutional Change: Tutorial 4
An important discussion is the extent to which the US Constitution is rigid or flexible.
The founding fathers recognised the need to safeguard the constitutional from the whims of ‘temporary’ governments and so the constitution was deliberately made difficult to change. Nevertheless, it would not be correct to describe it as rigid; indeed it has been described as a living document, still relevant today.
Amending the Constitution
Article V sets out how the constitution can be amended:
Two (formal) ways:
The first way requires the support of 2/3 both Houses of Congress; then ¾ state legislatures must ratify the amendment (38 states). All 27 amendments have been successfully introduced this way.
Or
A National Convention called by 2/3 States; then ¾ state legislatures ratify the amendment. This method has never been successful!
Also two (informal) ways:
Supreme Court interpretation
These are known as ‘interpretive amendments’: eg the eight amendment forbids ‘cruel & unusual punishment’. But what does this mean? In the case of Baze v Rees, 2008, an attempt was made to challenge the constitutional validity of the death penalty on the basis that it was a ‘cruel and unusual punishment’. The attempt, like all attempts before it, failed.
Chief Justice Hughes said in 1909: ‘the constitution is what the judges say it is’
The US Constitution is a short, vague document, deliberately made so by the Founding Fathers in order that it would endure (because it can be interpreted). The amendments are also written in general rather than specific language: for example the 14th Amendment provides ‘equal protection of the laws’.
The Supreme Court has the job of interpreting of the meaning of the words of the constitution and its amendments. Cases of constitutional importance may be brought to the Supreme Court (note, it cannot commission cases itself). More liberal Justices (known as ‘loose constructionists’, may interpret the constitution more liberally; where as more conservative Justices, known as ‘strict constructionists’, or ‘originalists’, may prefer to be guided in their judgements by the precise original wording of the constitution.
Thus, the same phrases in the constitution may be interpreted differently at different times and in different circumstances; for example, the phrase ‘equal protection of the laws’ in the 14th amendment was interpreted one way in the Plessy v Ferguson case (1896), but very differently in the Brown v Board of Education of Topeka case (1954). Plessy v Ferguson ruled that racial segregation was constitutionally permissible under the 14th Amendment, whereas Brown vs the Board of Topeka use the same clause to rule segregation as unconstitutional!
The growth of presidential powers from the 1930’s and the shift of authority from state to federal government are similarly the result of Supreme Court interpretation of the constitution.
The constitution is therefore more flexible and less rigid than is commonly thought. The US government has been able to evolve and adapt in response to new challenges and demands that have arisen through changing conditions and circumstances, such as civil war, great depression, foreign wars including the ‘war on terror’, Watergate and presidential impeachment.
Change by Conventions
The emergence of EXOP and the Cabinet and the growth of the executive are not mentioned in the constitution. Many of the ways in which government in the USA today actually works in practice are not in the constitution and have no constitutional status. Rather, they have evolved to fill in the gaps where the constitution is silent.
Examples of successful & failed amendments:
- First 10 amendments The Bill of Rights, 1791: some states only signed up to the constitution after this.
- The civil rights amendments following the Civil War (13th, 14th and 15th amendments)
- Direct election of the senate (17th amendment, 1913)
- Amendments to extend voting rights – to women (19th amendment, 1921), and to age 18 (26th amendment, 1951)
- Two-term presidency (22nd Amendment, 1951)
Strengths of the Constitution
It is entrenched (difficult to change). It therefore cannot be changed on a whim and amendments are unlikely to be ill-conceived)
It avoids too much power in one branch of government (separation of powers)
Rights are understood by citizens
It is flexible (it can be amended)
Its provisions safeguarded by an independent Supreme Court
The constitution is revered by American citizens: there is no pressure for change from citizens who are happy with their constitution.
Weaknesses of the US constitution
It is rigid (compared to UK constitution, which has “no extraordinary means of amendment”)
It (arguably) gives judges too much power (interpreting a codified constitution in the Supreme Court)
It has allowed the growth of unchecked Presidential power (the so-called imperial presidency from 1939-74)
It causes gridlock (A joke often made is that: ‘The opposite of progress is Congress’).
Test yourself on Constitutional change
Identify two formal ways in which the constitution can be changed.
Identify two informal ways in which the constitution can be changed.
Identify three examples of successful amendments.
Identify two examples of unsuccessful amendments.
Identify two strengths of the constitution.
Identify two weaknesses of the constitution
The Constitution and Federalism: Tutorial 5
The word ‘federalism’ does not appear in the US constitution. It is, however, implicit in the 10th Amendment, the last amendment in the Bill of Rights. This reserves all other rights for
the States.
Federalism also implicit in:
- Enumerated powers in the Constitution (limits Federal government)
- Inherent powers (foreign relations and war the province of the Federal government)
- Implied powers (Congress can make laws ‘necessary and proper for the general welfare’).
- Mucculloch v Maryland, 1819: the supremacy of the Federal Government was established in relation to a national bank
- Reserved powers for the states
'Dual’ federalism: 1787-1930s; aka 'Layer Cake Federalism'. In this the Federal Government had limited responsibilities which were entirely separate to the states' (eg Virginia; North Carolina; etc) administration.
‘Cooperative’ federalism: 1930s - 1960s; aka 'Marble Cake Federalism'. This came about as a result of Roosevelt's New Deal. It involved the Federal Government providing money to the states in order to boost economic growth (Keynesianism).
'Creative’ federalism: mid-1960s - early-1970's; aka 'Picket Fence' Federalism. This came about as a result of Jonson's 'Great Society'. It involved targeted funding given by the Federal Government, often to specific states' projects, in order to create affirmative action. The funding was much more focused on specific projects than under 'Creative Federalism'.
‘New’ Federalism: early-1970s - 2000s; aka 'On Your Own' Federalism. This was begun by Nixon, but its biggest proponent was Reagan. It was an attempt to reduce the power of Washington and to reassert the autonomy of the individual states. Ironically during this period, into the G.W. Bush area, the funding and scope of the central Federal government grew (eg the Dept of Homeland Security).
'Assertive’ or ‘coercive’ federalism: 2000s to present. This is not yet fully recognised. It involves the growing assertion of Federal government in domestic issues, eg The 'No Child Left Behind Act' (G.W. Bush's attempt to address literacy failings in school) and 'The Affordable Care Act' (Obamacare). Trump's pronouncements on gun control (though not entirely clear), his steel tariff and his Mexican wall project might be further evidence of this trend.
Advantages & Disadvantages of Federalism
- It provides checks & balances
- It allows diversity in the states
- Citizens are involved locally
- It provides a training ground for national leadership: many presidents (eg G.W. Bush; Clinton; Carter) have been state governors.
- It allows States autonomy
- Policy labs – it tests out policies
- It creates fragmented government
- It allows varied state laws which can be confusing (eg 35 states have the death penalty, but not all).
- It creates economic inequalities (Mississippi poor; California wealthy)
- It produces democratic overload: too many votes to be cast at each election (for Congress; the President; the state governor; state legislatures; even for local dog-catchers in some districts!!).
Test yourself on federalism
What is ‘dual’ federalism?
What was ‘cooperative’ federalism?
What was ‘creative’ federalism?
What was ‘New’ Federalism?
What is ‘assertive’ or ‘coercive’ federalism?
Extension questions on the Constitution:
Explain the importance of the separation of powers in the US system of government.
Explain the importance of the Bill of Rights in the USA.
Explain the concept of fundamental law in the USA.
Examine the process involved in amending the US Constitution
Explain the principle of checks and balances in the US system of government.
The Constitution of the USA was designed to resist change. Discuss.
Assess the significance of federalism in the USA
Assess the view that the US Constitution ensures limited government.
‘The separation of powers hinders effective government in the USA.’ Discuss.
‘Far from being rigid, the US constitution is remarkably flexible’. Discuss.
‘The Constitution no longer works as the Founding Fathers intended.’ Discuss.