[keyword] federalism; federalism; central local relations; Governance

[CLC]D523[document code: A[Article No.]1006-0863 (2009) 06-0018-09

Federalism is a basic principle of America defined in the constitution, but also an important content of American political system. In the states of highly decentralized federal system, USA is how to control the relationship between the federal and state government? America federal government is how to realize the effective governance of the country?

One, from the highly decentralized centralization is the basic path to American federal system development

The vast majority of countries America founding history and different world. It is the first city, after the state; the first state, after the state; state and is the first Confederate, after a federal. In 1787, the state elected delegate to the constitutional convention in Philadelphia for America Constitution Party. In the study of the form of state structure, once considered to establish a unitary state America, but not the denial of 13 state sovereignty, the final compromise to determine USA federal state. Compared with the articles of Confederation, USA federalism has the following major changes: one is that all States are part of the Federal; two is the establishment of the federal agencies complete function: Congress, President, federal law court; three is higher than the state law; the four is the federal state is combined to achieve the common goal of the body. The federal system indicates the formation of "the United States of America" has become a enjoy unified sovereign state.

(a) the development process USA federal

After USA federalism formation, has experienced "two yuan federalism", the "cooperative federalism" and "new federalism" this several stages. Each stage reflects the evolution American federalism, also recorded the whole trajectory American federal system development.

1 "two yuan federalism" stage. "Two yuan federalism" (dual federalism) is USA formed in the process of philosophy. The idea that: between the federal government and state governments are mutually exclusive relationship, interdependence. The two power absolute equality in status. Therefore, the federal government and state governments should set strict limits on their powers, within the boundaries of the independent exercise of power, its behavior, not subject to the jurisdiction of the court; the respective if beyond boundaries, the behavior is invalid. The federal system function is to guarantee the balance of power between the two. During this period, the federal system is based on the operation of state power. In the history of the development American federalism, "two yuan federalism" has been in the free capitalist period of dominance. It pursues and the period of "not that government is best which governs" political philosophy is come down in one continuous line.

In the "two yuan federalism" period, bring far-reaching influence on the development of America federal and state of the event is "America civil war" -- namely, the Civil War (1861 -1865 years). American federalism, although the realization of the unity of form, but in fact American remains a divided nation. "Civil war" is essentially the abolition of slavery and slavery struggle between, but in the form of performance is the maintenance of federal power to maintain state power struggle between. The "Declaration of independence" in USA acknowledged explicitly states to secede from the right, but then USA constitution which is vague, so the 1860 presidential election to become the civil war the fuse, the southern states had seceded. The civil war began, President Lincoln explicitly pointed out: "I in this war the highest goal is to save the union, and is not either to save or destroy slavery." [1] after the civil war ended, the fruits of victory is one of the American abolished slavery, another achievement is establishes federal states have no right to secede from the union principle. So far, USA federalism to closer relationship has taken an important step.

2 "cooperative federalism" stage. "cooperative federalism" in twentieth Century 30's thirty-second President Franklin I proposed by the USA. It was born in USA depression. At that time, USA has 1500 banks failed (1933 have failed more than 4000), there are about 32000 enterprises closed, 1/4 labor unemployment. [2] three years ago, the great depression, the federal government still believes in "laissez-faire policy", have nothing to do in response to the crisis. Roosevelt came to power, began a series of "government intervention" of the new deal, the focus is to regulate the economy. Roosevelt proposed, in response to the crisis, the federal government and state government should carry out cooperation, joint action, should not take into account the boundaries of federal and state power. "New Deal" the most important measure is the National Industrial Recovery Act enacted in 1933, "" (National Industry Recovery Act).

The law will deal specifically, legal measures. It controls the business structure of the whole American, provides various even bargain principle, give the workers in working time and salary guarantee. This law was to break through "line of two yuan federalism", the power of the federal government began to extend the original state of affairs belongs to the right. The federal government has also carried out the construction of large-scale public works, stimulating domestic demand, manufacturing requirements. The federal government to provide aid to state governments, to help pay for public works projects, housing assistance, welfare plan, unemployment benefits and other spending. In turn, the states are required to implement these plans, at least part of the cost burden. American academia thinks consistently, this period is the starting point for the power of the federal government, state power expansion of continuous attenuation. This trend continued until twentieth Century 60's and 70's, and reached its peak. 60 years of federal aid to state and local governments over 4 times. 70 in the protection of consumers, employees and the environment of the national laws giving the federal government a comprehensive intervention in social life. Today, it is difficult to find outside the jurisdiction of the federal government activities. The evolvement of "cooperative federalism" under the influence of the federal government and state government jurisdiction, some scholars have described it as "the fence federalism" (Picket-Fence Federalism): horizontal wooden fence represent different levels of government (federal, state and local), vertical picket represents all plans and policies for each level of government participation in the the. All levels of government together, in order to promote and develop each of them represents a policy. [3]

3 "new federalism" stage. The New Federalism (New Federalism) is the third stage of the development of American federalism. It was first proposed by President Richard Nixon. In 1969 August 8 day, Nixon put forward, the grim situation facing the city American crisis, social crisis and the crisis of confidence in the government. The reason is that the crisis of authority and responsibility in this decades too much on Washington, thus forming a huge bureaucracy an unwieldy, unresponsive, inefficient. To overcome the crisis, the most effective way is to make the government modernization. But the key is to reverse the trend of government modernization of centralization of state power of the federal government, "the right to the state", "the right to the people", strengthening of state and local governments to solve the economic and social problems in the role of. Its core is to change the way federal aid, sharing plan by revenue, the federal government's annual income a portion of the funds allocated to the state and local, dominated by state and local government. Nixon's "new federalism" proposed, due to pressure from Congress, and the influence of Vietnam and Watergate, the implementation of the slow progress, the effect is not obvious.

The "new federalism" the acme of President Ronald Regan. In 1981 February, Reagan put forward "economic recovery plan to the national television speech". The main content of the plan can be summarized into "three cut, a stable": cut the federal budget deficit, cutting the personal and corporate tax rates, cut government restrictions on enterprises of various rules and regulations, establish a stable monetary policy. According to the plan, Reagan in the adjustment of the relationship between the federal government and the States, to take the action: the power of the federal government and the social responsibility of the part underground to state and local governments. At the same time, the reform of federal funding for state and local government: the "package" (Block Grants) as the implementation of the new federalism policy tools. "Package" aid tool refers to some special funding merger under a generalized names, to state and local governments to loosen aid incidental, governors and mayors are on the use of federal funds have greater autonomy. The implementation is not Reagan's "aid" mode Everything is going smoothly. From 1966 to 1980, Reagan was elected, in many a package of aid projects, in fact only 5 approved by congress. After Reagan was elected, in urging the Reagan administration, Congress will increase this number to 9. In twentieth Century to 90 in the early 1980s, the fund accounts for only 10% of all federal funding. Until the 1994 Republican victory in parliamentary elections in 1996, to the welfare reform bill, only to a certain extent in the welfare fund "package" solution. [4]

The Clinton administration took office, put forward the slogan of "reinventing government", power relationship is determined to adjust the system of government, creating a cheap and practical government. He inherited the "new federalism" decentralization objectives, but also made adjustments to the "new federalism". He stressed that the federal government should strengthen to the States to find and implement the solutions to various problems of the supervision process. Therefore, the Clinton administration's federalism is also known as the "new federalism". With the development of "new federalism", the Supreme Court also began to weaken the power of the federal government, strengthen the power of the state government's situation. Notable is, the USA financial crisis triggered by the subprime mortgage crisis, have a greater impact on relations will America federal and state. In USA Congress passed 7 billion government bailout, has four states of California, Massachusetts, the loan for aid from the federal government. A professor at Harvard University America analysis said, America may have started a new round of the federal government to expand power period.

(two) several characteristics America federal system development

In USA federal development more than 200 years of history, is in fact the power authority and the state federal government against each other, mutual compromise history; at the same time the federal authority and the state power of mutual growth and decline history. The history of the American people fear the power of the federal government is too huge influence autonomous free from one side of a reflection, and the desire to have a strong federal government guarantee ambivalence their economic security and rich life; at the same time, also reflects the USA society not only want to adhere to the core values of traditional, and hope USA can to adapt to the complex changes of the times and meet the challenges of the mind. From the evolutionary process, we can at least see several characteristics America federal system development:

First, the relationship between the federal and state should be by the changes of the times, constantly conscious adjustment, the ideal relationship but not immutable and frozen, put things right once and for all. "". Success is a American, on federal and state processing to determine the relationship between 200 years ago, the constitution of concepts and ideas; on the other hand, according to changes in the situation in a timely adjustment. In USA system vicissitude, unlike some countries, is a revolutionary change, constitutional framework rather set in more than 200 years ago.

Second, adjust the relationship between the federal and state, the most fundamental is that the conversion always obey and serve the functions of government. "Two yuan federalism" is the functions of the government and the USA pursued laissez-faire doctrine to adapt, and "cooperative federalism" is to adapt to the new function of the government intervention in the economy of the. Product of the last century 80's and 90's "new federalism" is American conservative revival. What kind of government function, will have what model of federalism. Is the centralization of Federalism or decentralization of federalism, does not depend on what kind of political design, the objective need to depend on the economic and social development.

Third, although in a certain period of time in the federal government and state government power of mutual growth and decline, but the overall trend, from the highly decentralization to centralization of state power is the basic track of the development gradually America federal system. In spite of the "new federalism" period adopted some reform and expand the right of the state, but the basic framework of the cooperative federalism is still not shake, it is only a partial adjustment. In American, the federal government centralization is extremely profound economic and social reasons. From an economic point of view, USA has entered the post industrial era, the main manufacturing industry has not America economy, service industry has become the main component of economy. Especially in the economic globalization, economic policy requires not only the national unity, and even global unity. From the perspective of social development, America faced with environmental protection, medical insurance, born after World War II "baby boom" generation of pension, immigration and so on, these must also rely on the federal government to solve.

Notable is, in some areas, the state government is urging the federal government to exercise power. In 1970, USA Congress passed the "federal Clean Air Act". The legal requirements for control of power plants, factories and vehicle emission of toxic air pollutants, control and lead to toxic gases, industrial smoke, soot, ozone formation pollution. American government introduced new technology development and the policy of voluntary reductions in greenhouse gas emissions. But some environmental groups are very dissatisfied with the policy of the government, in 1999 they appeal to the USA EPA, asking the agency to take compulsory measures, greenhouse gas emissions standards set for motor vehicles. But American EPA dismissed these environmental groups complaints in 2003, proposed "federal Clean Air Act" does not grant the greenhouse gas emissions the mechanism of control power. Even given this power, it can not exercise, because it wants to take voluntary measures rather than coercive means to regulate greenhouse gas emissions. In addition, it does not want to motor vehicle emissions of carbon dioxide for the control, while the other issues aside. In 2003 October, in Massachusetts, led by 12 states, 3 city and 13 environmental groups to Washington American appeals court USA epa. In July 15, 2005, the court of appeals made to America EPA ruling. The prosecution appealed, continue to appeal. In June 26, 2006, the Federal Supreme Court agreed to hear the case USA. In November 29, 2006, America Federal Supreme Court hearing on the case. This is the first time America Federal Supreme Court ruling on issues related to global warming. In this case to solve two basic problems: one is the "carbon dioxide gas federal Clean Air Act" whether or not to grant USA EPA regulation of motor vehicle emissions and other greenhouse gas power; two is whether USA EPA decide not carbon dioxide and discharge its greenhouse gas regulation. In April 2, 2007, America Federal Supreme Court by 5 ∶ 4 majority verdict: USA Environmental Protection Agency has the right to regulate carbon dioxide gas of motor vehicle emissions and other greenhouse gases, USA EPA to evade regulation proposed reasons not fully. This case reflects the progress of the relationship between America federal and state governments from one side.

Two, stable and effective to adjust the relationship between the federal and state government governance structure change of circumstances

At first glance USA, you'll find out a strange contradiction between image. On the one hand, federal and state governments almost everyday for a specific transaction management and struggle, and sometimes also to appeal to the court; on the other hand, when the country faced a crisis, but also nationally, to ride out the storm. On the one hand, America federal running far beyond the original intention American constitution; on the other hand, the evolution of the Federal Constitution and is always running in orbit. Investigate its reason, lies in the political practice of more than two hundred years, because of various political power struggle and compromise, America has already formed the automatic adjustment of federal and state relationship governance structure perfect.

(a) to "balance" and appropriate flexibility for power allocation mechanism characteristics

Balance (Check and Balance) is the basic principle USA constitution, is also the philosophy foundation American power configuration. Balance is reflected not only restrict each other legislation, federal agencies in the administrative, judicial, but also reflected in federal and state power disposition. Balance of power allocation mechanism type, to ensure balanced the interests of all parties in the process of decision-making, to avoid the extreme phenomenon of decision, ensure decisions suitable neutral. At the same time, in order to cope with the social change, the allocation of power can ensure a moderate elastic. American constitution in definition between the federal government and state government power, fully embodies the characteristics of:

One is the enumerated powers belong to the federal, residual powers belong to the states. The constitution lists ways to determine the power of federal government, including: issuing currency, foreign relations, Guan Lizhou international trade, war, set up and maintain military forces, establish post offices, was inferior to the Supreme Court of NSW, acceptance etc.. For the power of the state, the Constitution without the use of examples, but confirmed that the Constitution did not grant the federal government, also did not prohibit the granting the power of the state, also known as the reserved power, which belongs to the state government. From the division of power, to enumerate the power by the constitution, the residual powers belong to the states. The right of the state and federal power has equal restriction. Residual powers belong to the States is an important feature of American federalism, constitutional basis is the right of the state to expand, the legal tools is also elastic response to changes of the times.

The two is to pay attention to the balanced participation in the political structure. In the political structure America, plays the role of Congress in American play a decisive role in political decision making. It has legislative, budgeting, taxation, foreign affairs and important appointment power, is actually America major political decision making. In Congress, both the house and the Senate, the Senate has more important status. In accordance with the provisions of the constitution of the Senate from the state American, each have two senators, regardless of the state's population number. This makes the federal in handling affairs, from the organizational structure to ensure that the interests of the states have their own representative.

The three is to change with time, in the power of granting kept moderate elasticity. The Constitution for the Federation, in addition to "express power", also identified the "implied powers" clause, namely: "all federal laws of other powers to exercise the authority and the government of the United States Constitution granted or any department or the officials are necessary and appropriate". The elastic clauses into the Constitution for the American flexibility. It gives Congress all those reasonable derived but not explicitly stated in the constitution authority. This provision for the federal government to successfully expand power, provides the constitutional basis for solving the framers of the constitution could not have foreseen problem.

The four is to restrict the state power to local self-government powers. In American, city, town, county, as the local government, enjoy local autonomy. The abuse of the exercise of local autonomy is restricted state right. According to statistics, USA statistics department in 2004, American various local government a total of 87525. Among them, the number of local government for 38967, including 3034 of the county government, 19429 City Hall and 16504 town government; the district government 13506, area government 35052. In densely populated metropolitan area, county population quantity is small, but many: 50 states in the USA in, which is distributed in 201 county government in 40 states, each government service population in more than 250000 people, the 201 county's population, accounted for the total population of all the county's 56.5%. The relationship between [5] state and local government followed this principle: the local government affairs in their own are entitled to full autonomy, and in the larger share for the interests of the local government is subject to cover their interest level of government. Although in the America history, along with the industrialization and the modernization of city, local autonomy was once subjected to state the right to challenge, but the people of the America local autonomy as one of the core values, the foundation of the local autonomy has not been shaken. Especially in mid nineteenth Century and twentieth Century, the local autonomy still tenaciously to exist and develop, become the cornerstone to resist the state power abuse. The local government autonomy comes not from the USA constitution, but from the state constitution, more importantly from the historical tradition of local autonomy American.

(two) for the benefit of the same high centralization of state power, interest distribution mechanism characteristics

In America, government's biggest interest is tax right. Allocation to straighten out the relationship between the tax is the biggest benefit assignment relationship between governments. The tax right to property, is the cornerstone of federal system. Through the historical evolution of more than two hundred years, American formed the tax distribution system has its own characteristics. America tax system has the following characters:

One is the tax system structure is simple, clear division of tax right. The federal tax on personal income tax, social insurance tax, corporate income tax as the main body, in addition to the heritage and gift tax, consumption tax (including the general consumption tax and consumption tax special use), a windfall profits tax, stamp tax, tariff. The state tax system is not the same, the general sales tax, income tax, property tax and inheritance tax, vehicle license tax, consumption tax, etc.. The main local government on property tax, in addition to the hotel business, power supply, telephone use levy business tax, license tax.

The two is based on the federal, state and government at all levels to assume the functions of the main taxes, set up the corresponding. In 2004 as an example: in the total federal tax, income tax (income tax) accounted for 53.1% (of which: 43% personal income tax, corporate income tax 10.1%), social insurance taxes accounted for 39%, 3.7% consumption tax, other taxes and fees accounted for 4.2%. The state taxes, sales taxes accounted for 28%, personal and corporate income taxes accounted for 22%. The structure of local government revenue, property taxes accounted for 30%. [6]

The three is the federal tax revenue in the proportion of the national tax revenue occupies the absolute dominant position. America at all levels of the government's total tax revenue accounted for more than 80% of revenue, the federal government tax revenues accounted for more than 90% of revenue (up to 98.4% in 1993). [7] in all financial expenditure, the federal government spending is the main part of the fiscal expenditure. In 2004, American GDP 11.6 trillion, the national total 3.6 trillion (31% of GDP), of which: federal spending $2.3, accounting for 19.8% of GDP, state and local government spending to $1.3, accounting for 11.2% of GDP, deficit of 3.6% of GDP. Federal funding for state government is an important source of revenue for the state and local governments. In 2004, the average state government funded 25% of average income States, the federal government allocated 349030000000 dollars in total, there are 21% for state and local government financial aid. [8]

American tax, instead of according to the pre designed politician to implement,, which is formed in response to the economic and social crisis in. Federal, state and local government tax is an important mark after the changes over the years and the functions of the government to deal with the situation. As America federal individual income tax levy has experienced a long process. 1781-1787, American a confederate, Confederate government had no power to tax. In 1787, the federal constitutional America, federal parliament has an independent right of Taxation, customs become the main income of federal. In addition, there is a small amount of consumption tax and other taxes. State governments are mainly of property tax levy and tax. In 1861, America civil war broke out, in order to cope with the war spending, Congress for the first time in the country America levy personal income tax. During the war, the personal annual income at $600-10000 a 3% income tax. In 1862, the annual income of more than $10000 tax rate increased to 5%, the properties so that the personal income tax is a progressive tax system of the preliminary. After the war, because of widespread opposition to tax, personal income tax was abolished in 1872. In 1913, America by the sixteenth amendment to the constitution, allowing federal levy personal income tax, the poll tax to replace the state. In 1913 October, USA Congress has approved the new income tax law. Since then, the personal income tax has become the main tax federal, still in use. The social insurance tax levy is a product of America during the great depression, Roosevelt's new deal. In 1935, USA through of the social insurance law (Social Security Act 1935), provides the economic compensation system for unemployed workers, also provides for old age, poor, disabled and some minor provide public funding, these projects accounted for fiscal 2%, the payment from the new levy income tax, payroll tax to pay for the base, half of the employer is responsible, the other half from the wages of the workers in the collection. Because the payroll tax is used for the payment of the public pension, it is also known as the social insurance tax. The social insurance tax payment scope has been expanded, in 1956 began to pay industrial injury insurance, in 1958 and put other people pay to expand the scope of work-related injury insurance by 1967 to support, and further expand to lonely, widowed persons. In 1965 Congress began implementing the medical insurance plan, providing medical assistance for low income, or over 65 years old. In order to cope with the increasing demands, the social insurance tax rate has gradually increased. In 1949 -1962 years, the tax rate increased from 2% to 6%, rising to 12.3% by 1980. [9] (seventh to be continued)

Reference.

[References]

[1] Luo Rongqu. American division and unification of the [J]. Social Science Forum, 2005 (6)

[1]Luo Rongqu. The Secession and Unification of the United States. Social Sciences Forum, 2005 (6)

[2][3][4][beauty] Stephen Schmidt, Mark Shelley, Barbara Bardis. America government and politics [M]. Mei and translation. Beijing: Peking University press, 2005.61, 62-63, 65-67

[2][3][4]Steffen W.Schmidt, Mack C.Shelley, Barbara A.Bardes. American Government and Politics. Trans. by Mei Ran. Beijing: Peking University Press, 2005. P61, pp62-63, pp65-67

[5]Samuel Kernell, Gary C.Jacobson.The Logic of American Politics (Third Edition). Washington DC: CQ. Press, 2006.p83, p104

[6][8]Jay K.Rosengard. Local Government Finance in the United States

[7] Beijing neutral Union Alpha Cpa Ltd. American tax introduced [EB/OL].http://www.chinesetax.com.cn

[7]Beijing Zhongli Accounting Firm Company Limited. The Introduction of the US Taxation System. http://www.chinesetax.com.cn

[9]Department of the Treasury of U.S. History of the U.S. Tax System. http://www.us treas.gov/education/fact-sheets/tsxes/ustax.shtml

(the writer is the party members, the Ministry of land and resources deputy general inspector of national land, Beijing 100812)