The Evolution of Federalism

Defining Federalism

FederalismConstitutional

arrangement whereby power is distributed between a central government and

subdivisional governments called states in the United States. The national and the subdivisional governments exercise direct authority over

individuals

“Look, the American people don’t want to be bossed around by federal bureaucrats. They want to be bossed around by state bureaucrats”

Advantages of Federalism

Federalism allows for experimentation/diversity

Multiple levels of government provide flexibility

Citizens can choose where to live Citizens have many ways to influence

their gov’t Provides additional checks & balances

Disadvantages of Federalism

The complexity of the federal system– Larger bureaucracy/duplication– Coordination confusion– Slow to respond to crisis– Complex tax system

Federalism is expensive Potential for inequality in services &

policies

Versions of Federalism

Dual Federalism (Layer Cake Federalism)

Views the Constitution as giving a limited list of

powers to the national government, leaving the rest to sovereign states

Cooperative Federalism (Marble Cake Federalism)Federalism as a cooperative system

of intergovernmental relations in delivering goods and services to the

people“As the colors are mixed in a marble cake, so functions are mixed in the

American federal system.”

The Significance of the 10th Amendment

The powers not delegated to the United States by the Constitution, nor prohibited by it to the States, are reserved to the States respectively, or to the people.

The 10th Amendment was seen as a reservoir of reserved powers for state governments

However, it’s rarely had much significance since McCulloch v. Maryland in 1819

The doctrine of implied national powers, and the “necessary and proper” clause have undercut the words and apparent intent of the 10th Amendment

Why Divide Authority in the First Place?

The Constitution may have never been ratified if the Framers had pushed for a unitary system

Federalism was a compromise, allowing the states to maintain their independence

Why?– Prevent tyranny

– Provision for increased participation

– Uses states for experimentation for new policies/programs

The Evolution of Federalism

“State-Centered Federalism”

1787 to 1868

From the adoption of the Constitution to the end of the Civil War, the states were the most important units of the American Federal System

McCulloch v. Maryland decided during this phase– Construes “necessary and proper” to favor expansion of

national authority

McCulloch v. Maryland (1819)

It determined that Congress had not only the powers expressly conferred upon it by the Constitution but also all authority “appropriate” to carry out such powers

The national supremacy principle states that all federal laws (including the Constitution itself) are superior to

any conflicting state or local laws, such that the federal laws will always take precedence.

Doctrine of Implied National Powers

Doctrine of National Supremacy

Evolution of Federalism

Doctrine of Nullification– Each state could declare any laws or actions of

the national government “null and void” (ruled unconstitutional)

Doctrine of Secession– States could chose to withdraw from the United

States if they wanted – Used by the Confederate States in the Civil War

The Evolution of Federalism

“Dual Federalism”

1868 to 1913

In this phase, the national government narrowly interpreted its delegated powers and the states

continued to decide most domestic policy issues. Believed the national government shouldn’t

exceed enumerated powers

Evolution of Federalism

After the Civil War, industrialization and urbanization created new challenges for the federal system

The Evolution of American Federalism

The system was likened to a marble cake in that “as the

colors are mixed in a marble cake, so functions

are mixed in the American federal system.”

“Cooperative Federalism” 1913 to 1964

“Cooperative Federalism” 1913-1964

New Deal= centralized response to national crisis, become nationally-based welfare state

Many social programs remain under state control

Congress controls commerce leading up to and during WWII

The Evolution of American Federalism

The presidency of Lyndon B. Johnson (1963-1969) marked a critical point in the evolution of federalism

Federal government clearly had its own national goals

“Centralized” or “Creative” Federalism

1964-1980

The Great Society and Creative Federalism

Johnson’s “Great Society”– War on Poverty– Civil Rights Acts

Federal funds were directed to states, local government, and a wide variety of social programs

The Great Society and Creative Federalism

The Great Society and Creative Federalism

New Federalism Ronald Reagan sought

to return more power and responsibility to the states

Block grants and revenue sharing reduce federal requirements

“Government is not the solution; it’s the problem”-Ronald Reagan

Devolution (Beginning in 1995)

The Republican “Contract with America” called for devolution-- the transfer of political and economic power to the states (with decreased federal funding)

1996 Welfare Reform devolved the program to states

The Supreme Court’s Shift in Perspective

Beginning in 1995, justices interested in granting more deference to state authority gained a slim

five-to-four majority in the Supreme Court

The Constitutional Counterrevolution

A return to an older version of federalism not embraced since the constitutional crisis over the New Deal in the 1930s

• United States v. Lopez (1995)• Printz v. United States (1997)• United States v. Morrison (2000)

The Changing Nature of Federal Grants

In 1996 there was a shift from Categorical Grants to Block Grants

2 types of Categorical Grants (Grants-in-Aid):

• Formula grants• Project grants

Block Grants (Revenue-sharing Grants)• Far more flexible

The Changing Nature of Federal Grants

Grants-in-Aid

Federal funds given to state and local governments on the condition that the money be spent for specified

purposes, defined by officials in Washington

Such funds are usually accompanied by requirements and standards set by the

governing body for how they are to be spent. An example of this would be how the United States Congress required states to raise the

drinking age for alcohol from 18 to 21 in order for the individual states to continue to qualify

for federal funds for interstate highways located within each state.

The Future of Federalism

The persistence of international terrorism, the war in Afghanistan, and rising deficits all ensure a substantial role for the national government in the years to come

The Future of Federalism

TARP (Troubled Asset Relief Program)

Health Care Law

No Child Left Behind

No Child Left Behind Example Problem= declining student performance Solution= federal funding requires tough

performance standards Unintended consequences: localities

forced to make huge investment to implement testing requirements

Localities sue states--> unfunded mandate

States opting out of federal funds (& performance standards)