One of the most precious political
legacies the founding fathers left Americans was
federalism. The American Heritage dictionary defines
it as "A system of government in which power is
divided between a central authority and constituent
political units." A synonym often used by the
founders was "confederation."
In America's case, power is divided between the
federal government in Washington and the state
governments. Under the Bill of Rights, power is
further divided by guaranteeing certain rights
to the people themselves.
The American Revolution broke with the central
authority in Great Britain and began operating
under the already existing Continental Congress,
a loose federation of the 13 states. The Declaration
of Independence specifically referred to "these
states" and insisted on the plurality of states
coming together in a federal union: "as free and
independent states, they have full power to levy
war, conclude peace, contract alliances, establish
commerce, and do all other acts and things which
independent states may of right do."
It's also worth remembering that four states
- Virginia, New Jersey, Rhode Island, and Maryland
- issued their own declarations of independence
from Great Britain.
And the Articles of Confederation said, "The
states hereby severally enter into a firm league
of friendship with each other for their common
defense, the security of their liberties, and
their mutual and general welfare, binding themselves
to assist each other against all force offered
to, or attacks made upon them, or any of them,
on account of religion, sovereignty, trade, or
any other pretense whatsoever."
The meaning was clear: Every state had a right
to make its own laws, to declare its independence,
but also to join with the other states in declaring
independence from Great Britain and forging a
common army and navy to defend themselves.
This structure allowed the widest range of freedom
for the smallest but most important units of society,
the individual, the family, the local business
and the community.
For a long time, this plural nature of our country
was reflected in referring to the country in the
plural, as "the United States are in the Western
Hemisphere," whereas most people today would say
is. Even today, Americans abroad refer to being
"back in the states."
OUR FEDERALISM
"The United States of America was not the first,
but has unquestionably been the most successful
attempt to reconcile the presumable desideratum
of general freedom with the necessity of social
discipline," wrote Felix Morley in "Freedom and
Federalism" in 1959. "Even if this unusually experimental
form of government is doomed to eventual failure,
the record of its tangible accomplishment will
have proved unprecedented. … By the adoption of
arrangements strongly negative toward the power
of government, the Republic has so far permitted
and encouraged its citizens to act affirmatively
in their own interests. Many Americans do not
realize that when first attempted this political
plan was extraordinary, indeed revolutionary in
the full sense of the word.
"The United States, as the name implies, are
a union of sovereign states, federal in nature.
... First and foremost, federalism involves dispersion
of political power. … This division of sovereignty
between the central government and the constituent
states must be defined. In consequence, a constitution
is prerequisite to any federation. ... By the
device of keeping certain governmental powers
under strictly local control, people with great
diversities may be encouraged to unite under one
flag."
THE FEDERAL CONSTITUTION
As the Constitution was being written and considered,
the founders carried on one of the most famous
political debates in history.
Newspapers across the land published defenses
of the new Constitution and attacks on it. The
most famous defenses were collected in "The Federalist
Papers." Those opposed to the Constitution were
called "Anti-Federalists," even though they actually
favored federalism themselves by retaining the
Articles of Confederation. The Anti-Federalists
worried that the new Constitution eventually would
lead to consolidated power.
The Federalist and Anti-Federalist editorials
and speeches are collected on many Internet sites
and in "The Debate on the Constitution," two recent
volumes from the Library of America.
The Federalists won the debate and the new Constitution
was adopted, but the Anti-Federalists' attacks
forced the Federalists to sharpen their arguments,
weaken the power of the federal government and
adopt the Bill of Rights.
All the founders loathed extreme centralization
of power, which they attacked as "consolidation,"
of the type found in the European despotisms of
their day. However, Alexander Hamilton was one
of the founders who favored more centralization
than did Patrick Henry, Jefferson and others.
THE FEDERALISTS SPEAK
But even Hamilton wrote in Federalist 32, "An
entire consolidation of the states into one complete
national sovereignty would imply an entire subordination
of the parts; and whatever powers might remain
in them would be altogether dependent on the general
will. But as the plan of the convention aims only
at a partial union or consolidation, the state
governments would clearly retain all the rights
of sovereignty which they before had, and which
were not, by that act, exclusively delegated to
the United States."
"Delegated" is another key word. It means the
states themselves grant to the federal government
only a few powers.
In Federalist 45, James Madison insisted, "The
powers delegated by the proposed Constitution
to the federal government, are few and defined.
Those which are to remain in the state governments
are numerous and indefinite. The former will be
exercised principally on external objects, as
war, peace, negotiation, and foreign commerce;
with which last the power of taxation will for
the most part be connected. The powers reserved
to the several states will extend to all the objects,
which, in the ordinary course of affairs, concern
the lives, liberties and properties of the people;
and the internal order, improvement and prosperity
of the state."
Which powers are "delegated" and "defined"? Only
the 18 listed in Article I, Section 8 of the Constitution.
These powers - all granted only to Congress, not
the president or the courts - included collecting
taxes (but not an income tax until the 16th Amendment
in 1913), borrowing money, establishing uniform
laws of bankruptcy and naturalization, coining
money (not printing it), establishing courts and
post offices and declaring war.
THE FEDERALIST BILL OF RIGHTS
Ten federalist exclamation marks were added:
the Bill of Rights. The First Amendment begins
sternly, "Congress shall make no law," and continues,
"respecting an establishment of religion, or prohibiting
the free exercise thereof; or abridging the freedom
of speech, or of the press; or the right of the
people peaceably to assemble, and to petition
the government for a redress of grievances."
The much-neglected 9th Amendment guarantees,
"The enumeration in the Constitution of certain
rights shall not be construed to deny or disparage
others retained by the people." This means that
the federal government can't abridge a right just
because it's not mentioned in the Constitution.
For example, the government can't spy on library
patrons, as the FBI has begun to do, just because
"libraries" aren't mentioned in the Fourth Amendment
"right of the people to be secure in their persons,
houses, papers and effects, against unreasonable
searches and seizures."
The 10th Amendment says, "The powers not delegated
to the United States by the Constitution, nor
prohibited to it by the states, are reserved to
the states respectively, or to the people." There's
that word "delegated" again. It means that, if
something isn't specifically mentioned in the
18 powers delegated to Congress, the feds can't
do it.
DEPARTURES FROM FEDERALISM
It's not surprising over the course of the life
of a civilization that it will depart from its
foundation, which in America's case includes the
Constitution. People and times change; words shift
meaning; memories are short.
Which is why today it sometimes is hard to see
the federalist (as opposed to "federal" government)
nature of our polity. The federal government consumes
20 percent of the GDP, 10 times the norm in the
19th century. Myriad regulations control our lives.
Federal authorities effectively have pre-empted
the state and local governments in such matters
as internal security and law and order. The feds
also have pre-empted individual rights on health
care (Medicare and Medicaid), retirement savings
(Social Security), helping the poor (welfare),
etc.
I remember growing up in the early 1960s in
a country with a much smaller federal presence.
More was locally governed - schools, courts, city
and state governments. Nowadays, these bodies
usually beg for federal grants for training or
some new service, which usually come with federal
controls.
One of the worst developments is the uniformity
of police forces across the land. Many top-level
police get training from the FBI. And the unconstitutional
"war" on drugs has federalized police forces as
never before. In California, local police sometimes
don't use our state's property-seizure law because
in the mid-1990s the Legislature made it less
onerous. So the local police use federal laws,
which make it easy to seize property even if a
person is innocent, the Fourth Amendment guarantee
against "unreasonable searches and seizures" notwithstanding.
SINCE 9/11
The "war on terrorism" since 9/11 has made matters
worse. The U.S. Justice Department under Attorney
General John Ashcroft - ironically a supporter
of the Federalist Society - has increased surveillance
on and decreased the liberties of citizens. The
feds now can snoop on just about anybody on the
Internet without a warrant.
The feds are doing this as a matter of "homeland
security." But what are they securing? Not the
Constitution they keep violating.
But despite these violations, the federalist
impulse in the American polity remains strong.
It practically is impossible to control almost
300 million people from a central authority. Even
the Soviets couldn't do it, with even stronger
police powers.
Nowadays, it's hard to know which few powers
remain with the people because the government
keeps restricting them. But I don't think the
restriction can last. History shows the oscillation
between centralized and independent states. China,
India, Rome and other states have started out
as loose associations, were jammed into consolidated
states, then broke apart again, sometimes to repeat
the process over and over across the millennia.
The original, federalist design of of America
long worked because it balanced the needs of a
truly federal system of few, delegated, limited
powers given to the U.S. government, and left
the other powers to the states and to the people.
The perfunctory support for the president and
the federal government after 9/11 has subsided
and people now are looking critically at all those
new powers the federal authorities took. People
are realizing how little security they are getting
at such a great price.
FUTURE FEDERALISM
The Internet is the greatest boon to federalism
ever invented, diffusing knowledge everywhere.
The founders would have loved it.
As such information theorists as Brooks Adams
and Marshall McLuhan have noted, political connections
follow trade lines. Nowadays trade lines, thanks
to the Internet, are becoming more decentralized.
So will governments, as we're seeing in secession
movements from the breakup of the Soviet Union,
to the San Fernando Valley and Hollywood wanting
to leave Los Angeles.
The way to fight terrorism in such an age is
not with outmoded centralization, but with decentralization.
That means the founders' federalist design is
not a rumor from the past, but a blueprint for
a future of safety and freedom.