Omar Bennett
Federalism is a system of government where different levels of government share the same territory. The US Constitution embodies the concept of federalism by dividing and sharing political power between the national government and state governments. This system of checks and balances is not explicitly mentioned in the Constitution but is deeply interwoven into it. The national government can pass laws that apply to the entire nation, such as the Civil Rights Act of 1964 and the Voting Rights Act of 1965, which helped dismantle the Jim Crow system of segregation in certain states. Federalism allows states to shape policies that serve their communities and act as laboratories of democracy, often leading the way in trying out new laws and policies.
| Characteristics | Values |
|---|---|
| Division of power between the federal and state governments | The federal government holds limited power, while states retain much of their power, including police power to regulate and promote the health, safety, morals, and general welfare of their residents |
| Sharing of power between the federal and state governments | The federal government can set laws that apply to the entire nation, such as the Civil Rights Act of 1964 and the Voting Rights Act of 1965, which helped dismantle the Jim Crow system of segregation in certain states |
| Cooperative federalism | The federal and state governments develop a flexible relationship with overlapping and shared power to address specific issues or implement programs, such as grants-in-aid and regulated federalism |
| Dual federalism | Also known as "layer-cake" federalism, where the division of power between the federal and state governments is clear and defined, as outlined in the Constitution |
| New federalism | A political philosophy of devolution, returning or transferring federal power to the states, where states enforce regulations and hold more autonomy |
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What You'll Learn
Division of power between federal and state governments
Federalism is a system of government where the same territory is shared by different levels of government. In the United States, federalism refers to the division and sharing of power between the federal government and the individual state governments. The US Constitution does not explicitly mention the term "federalism", but the principle is woven throughout the document.
The US Constitution establishes a strong, unified national government with limited powers, while the states retain much of their power, including police power to regulate and promote the health, safety, morals, and general welfare of their residents. The Framers of the Constitution sought to preserve liberty by diffusing power between the federal and state governments. This is achieved through the allocation of specific powers to the federal government, while the states retain all powers that are not expressly prohibited.
The Constitution gives the federal government the authority to override the states in certain areas, allowing it to prevent states from taking certain actions. For example, the Commerce Clause in Article I, Section 8, Clause 3 grants Congress the power to "regulate Commerce with foreign Nations, and among the several States, and with the Indian Tribes." This clause has been interpreted broadly to expand the federal government's regulatory and enforcement powers.
Another example of the division of power is the Supremacy Clause in Article VI, which establishes federal law as superior to state law. This clause ensures that in cases of conflict between federal and state laws, federal law takes precedence.
The system of federalism in the US has evolved over time, with different periods characterised by varying levels of cooperation and power-sharing between the federal and state governments. From 1788 to 1937, dual federalism or "layer-cake" federalism prevailed, with a clear and defined division of powers between the federal and state governments. Since 1937, cooperative federalism or "marble-cake" federalism has emerged, characterised by a flexible relationship and overlapping powers between the two levels of government. This form of federalism often involves the federal government providing grants-in-aid to states for specific purposes or broader policy implementation.
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The Supremacy Clause in Article VI
Federalism is a concept embodied in the US Constitution, referring to the division and sharing of power between the national and state governments. The Supremacy Clause, outlined in Article VI of the US Constitution, is a key example of federalism in action. This clause establishes the priority of federal law over state law, a principle known as the "doctrine of preemption".
The Supremacy Clause states that the Constitution, federal laws made under its authority, and all treaties made or to be made under the authority of the United States, are the "supreme Law of the Land". This means that federal law takes precedence over any conflicting state laws or policies, and judges in every state are bound to follow federal law, regardless of any contrary provisions in state constitutions or laws. The clause also mandates that federal and state officials, including legislators and judges, must adhere to the US Constitution, while state officials must also uphold their respective state constitutions and laws.
The Supremacy Clause is not a source of federal rights and does not enable individuals to sue to enforce federal law. Instead, it ensures that Congress can limit the enforcement of federal laws to federal actors. The clause also addresses prior debts, stating that debts and engagements incurred before the adoption of the Constitution remain valid under the new Constitution.
The preemptive effect of the Supremacy Clause is particularly evident in areas governed by the Commerce Clause, where Congress regulates interstate commerce. However, it also applies whenever Congress legislates according to its enumerated powers, whether express or implied, and regardless of state acceptance. For example, in cases concerning state legislation related to social security programs authorized by Congress, a state's participation is voluntary, but once it participates, any legislation contrary to federal requirements is void under the Supremacy Clause.
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Dual federalism (1788-1937)
Dual federalism, also known as layer-cake federalism or divided sovereignty, is a political arrangement that existed from 1788 to 1937. During this period, power was clearly divided between the federal and state governments, with each having distinct and separate spheres of authority. The federal government had powers such as declaring war, making treaties, and maintaining an army, while the states retained powers including police power to regulate and promote the health, safety, morals, and general welfare of their residents.
The concept of dual federalism emerged as a response to the Articles of Confederation, which established a weak federal government. The Federalist Papers, written by James Madison, John Jay, and Alexander Hamilton, provided the philosophical underpinning for the new Constitution, which was drafted in 1787. The Constitution sought to create a strong, unified national government with limited powers, while the Tenth Amendment protected the rights of the states, reserving for them all powers not expressly delegated to the federal government.
During the era of dual federalism, there was little collaboration between the federal and state governments. The national government acted as a servant to the states, and issues of state sovereignty and federal authority were hotly debated, eventually leading to the Civil War. The period was marked by an increasing presence of the national government into areas previously under state purview, such as business regulation, the economy, and civil rights.
The era of dual federalism ended in 1937 during Franklin Roosevelt's presidency when the Supreme Court upheld the constitutionality of his New Deal policies. Industrialization, economic modernization, and the Great Depression elevated commerce to a national level, leading to an overlap in the powers of the federal government and the states. The federal government used the Commerce Clause to regulate the economy, and the Interstate Commerce Act and Sherman Antitrust Act further expanded its authority. The end of dual federalism gave way to cooperative federalism, where the federal and state governments worked together more closely.
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Cooperative federalism (since 1937)
Cooperative federalism, also known as marble-cake federalism, is a model of intergovernmental relations that recognises the overlapping functions of national and state governments. This model asserts that governmental power is not concentrated at any governmental level or in any agency. Instead, the national and state governments share power and work together on a variety of issues and programs.
The constitutional foundations of cooperative federalism are threefold. Firstly, proponents of cooperative federalism rely on a broad interpretation of the Supremacy Clause (Article VI) of the Constitution, which establishes federal law as superior to state law. Secondly, they contend that the Necessary and Proper Clause (Article 1, Section 8), also known as the Elastic Clause, allows the national government to make laws essential to carrying out its inherent powers. Finally, they hold a narrow interpretation of the Tenth Amendment.
The model of cooperative federalism was expanded during Franklin D. Roosevelt's New Deal. The influence of the national government over social welfare policies continued after World War II and into the 1960s when Lyndon B. Johnson declared his War on Poverty. Johnson's efforts to expand the safety net are often referred to as "creative federalism." During this time, the national government shaped new public policies on issues such as the environment, job safety, mental health, education, and the rights of disabled individuals, relying on the states to implement federally imposed mandates.
Some examples of cooperative federalism include grants-in-aid, where the federal government allocates funds to states for a specific purpose or broader policy, and regulated federalism, where the federal government sets mandated regulations and rules for states to follow, with or without federal funding. Another example is the Clean Water Act, which "anticipates a partnership between the States and the Federal Government, animated by a shared objective".
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New federalism (since the 1970s)
New Federalism, a political philosophy of devolution, emerged in the 1970s as a response to President Franklin Roosevelt's New Deal policies, which had centralised power in the federal government. The primary objective of New Federalism is to restore some of the autonomy and power to individual states. Many of the ideas of New Federalism originated with Richard Nixon, who established the Supplemental Security Income program, expanded the food stamp program, and created the Environmental Protection Agency (EPA) in 1970 to enforce laws such as the Clean Air Act.
New Federalism typically involves the federal government providing block grants to the states to address social issues, while allowing states discretion in implementing programs. This approach reflects a belief that state governments may be better equipped to address certain issues, such as environmental protection and crime control. For example, in United States v. Lopez (1995) and United States v. Morrison (2000), the Rehnquist Court limited Congress's power to legislate under the Commerce Clause, which was seen as a victory for New Federalism.
Education has been a controversial issue under New Federalism. Some groups advocate for a nationally unified education system controlled by the federal government, while others argue for state control to allow for variation by state. During the presidency of George W. Bush, the No Child Left Behind (NCLB) legislation required states to meet federal testing standards, but some states, such as Utah, rejected it, and the Attorney General of Connecticut sued the federal government for underfunding. In April 2017, President Donald Trump used an executive order to reduce federal influence over education.
New Federalism continues to shape the relationship between the federal and state governments in the United States, with ongoing debates about the appropriate division of powers and the role of the judiciary in enforcing the interests of the states against the federal government.
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Frequently asked questions
Federalism is a system of government where the same territory is shared by different levels of government.
There are three types of federalism: dual federalism, cooperative federalism, and new federalism.
Dual federalism, also known as "layer-cake" federalism, is a system where government power is clearly divided between federal and state governments. An example of this is the Supremacy Clause in Article VI of the Constitution, which establishes federal law as superior to state law.
Cooperative federalism, also known as "marble-cake" federalism, is a more flexible approach where the federal and state governments share power to address specific issues. An example of this is grants-in-aid, where the federal government provides funds to states for a specific purpose or broader policy.
Federalism empowers states to shape policies that best fit the needs and preferences of their communities. This allows for a diversity of approaches that can benefit the nation as a whole, as states are seen as "laboratories of democracy".
