Federalism divides power between the federal government and states, balancing authority and allowing local control. The Constitution outlines specific powers for each level, with federal law generally taking precedence over state law when conflicts arise.
The system includes federal powers like regulating interstate commerce, state powers like issuing licenses, and shared powers like taxation. Key amendments and clauses shape federalism's application, influencing government actions and individual rights.
Federalism overview
- Federalism is a system of government in which power is divided between a central government and smaller regional governments, such as states or provinces
- In the United States, power is divided between the federal government and the state governments, with the Constitution outlining the specific powers granted to each level of government
- Federalism allows for a balance of power, preventing any one level of government from becoming too powerful, while also allowing for local control and experimentation
Division of power
Federal government powers
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- The federal government has specific enumerated powers granted to it by the Constitution, such as the power to regulate interstate commerce, declare war, and coin money
- These powers are often referred to as the "delegated powers" because they are delegated to the federal government by the Constitution
- The federal government also has implied powers, which are powers that are not explicitly stated in the Constitution but are necessary for the federal government to carry out its enumerated powers
State government powers
- State governments have powers that are not granted to the federal government by the Constitution, often referred to as the "reserved powers"
- These powers include the power to establish local governments, regulate intrastate commerce, and conduct elections
- States also have the power to pass laws that protect the health, safety, and welfare of their citizens, known as the "police power"
Concurrent powers
- Concurrent powers are powers that both the federal government and state governments share, such as the power to tax, borrow money, and establish courts
- In cases where both the federal government and state governments have concurrent powers, the federal law generally takes precedence over state law
Reserved powers
- Reserved powers are powers that are not granted to the federal government by the Constitution and are therefore reserved for the states
- The 10th Amendment to the Constitution specifically states that powers not delegated to the federal government are reserved to the states or to the people
- Examples of reserved powers include the power to issue licenses (driver's licenses, marriage licenses), regulate intrastate commerce, and establish local governments
Supremacy clause
Preemption of state law
- The Supremacy Clause of the Constitution (Article VI, Clause 2) establishes that the Constitution, federal laws, and treaties are the "supreme law of the land"
- This means that when there is a conflict between federal law and state law, federal law takes precedence and preempts state law
- Preemption can be express (explicitly stated in the law) or implied (when a federal law is so comprehensive that it leaves no room for state regulation)
Commerce clause
Dormant commerce clause
- The Commerce Clause (Article I, Section 8, Clause 3) grants Congress the power to regulate commerce among the states
- The Dormant Commerce Clause is a legal doctrine that prohibits states from passing laws that discriminate against or excessively burden interstate commerce
- Even if Congress has not acted, the Dormant Commerce Clause prevents states from passing laws that would interfere with the free flow of trade between states
Necessary and proper clause
Expansion of federal power
- The Necessary and Proper Clause (Article I, Section 8, Clause 18) grants Congress the power to make all laws that are "necessary and proper" for carrying out its enumerated powers
- This clause has been interpreted broadly by the courts, allowing for an expansion of federal power beyond the specific enumerated powers listed in the Constitution
- For example, the Necessary and Proper Clause has been used to justify the creation of a national bank and the regulation of intrastate economic activities that have a substantial effect on interstate commerce
10th Amendment
Reservation of state powers
- The 10th Amendment states that powers not delegated to the federal government by the Constitution, nor prohibited by it to the states, are reserved to the states or to the people
- This amendment reinforces the principle of federalism and the division of power between the federal government and state governments
- The 10th Amendment has been used to challenge federal laws and regulations that are seen as infringing on state powers, such as unfunded mandates
11th Amendment
State sovereign immunity
- The 11th Amendment grants states sovereign immunity, which means that states cannot be sued in federal court by citizens of other states or by citizens of foreign countries
- This amendment was passed in response to a Supreme Court case (Chisholm v. Georgia) that allowed a citizen of South Carolina to sue the state of Georgia in federal court
- The 11th Amendment has been interpreted to also bar suits against states by their own citizens, although Congress can abrogate this immunity in certain circumstances
14th Amendment
Incorporation of Bill of Rights
- The 14th Amendment, ratified in 1868, has been used to apply the Bill of Rights (the first ten amendments) to the states through a process known as incorporation
- The Due Process Clause of the 14th Amendment has been interpreted to protect individuals from state actions that violate their fundamental rights
- Through selective incorporation, the Supreme Court has applied most of the protections in the Bill of Rights to the states, such as freedom of speech, freedom of religion, and the right to a fair trial
Equal protection clause
- The Equal Protection Clause of the 14th Amendment prohibits states from denying any person within its jurisdiction the equal protection of the laws
- This clause has been used to strike down state laws that discriminate on the basis of race, gender, national origin, and other protected characteristics
- The Equal Protection Clause has been central to many landmark Supreme Court cases, such as Brown v. Board of Education (school desegregation) and Obergefell v. Hodges (same-sex marriage)
Due process clause
- The Due Process Clause of the 14th Amendment prohibits states from depriving any person of life, liberty, or property without due process of law
- This clause has both procedural and substantive components
- Procedural due process ensures that individuals receive fair procedures before their rights are taken away (notice, hearing, impartial decision-maker)
- Substantive due process protects certain fundamental rights from government interference, such as the right to privacy and the right to marry
Federalism in action
Cooperative federalism
- Cooperative federalism involves the federal government and state governments working together to solve common problems
- In this model, the federal government often provides funding and guidelines for programs, while states have some flexibility in implementing them
- Examples of cooperative federalism include Medicaid (health insurance for low-income individuals) and the Clean Air Act (air pollution regulation)
Competitive federalism
- Competitive federalism involves states competing with each other to attract businesses and residents by offering favorable policies and regulations
- This competition can lead to experimentation and innovation, as states try different approaches to solve problems
- Examples of competitive federalism include states competing to attract businesses through tax incentives and states legalizing marijuana for medical or recreational use
Federalism controversies
Unfunded mandates
- Unfunded mandates are federal laws or regulations that require states to take certain actions or provide certain services without providing the necessary funding
- States often argue that unfunded mandates infringe on their powers and strain their budgets
- Examples of unfunded mandates include the Americans with Disabilities Act (requiring accommodations for individuals with disabilities) and the Real ID Act (requiring states to meet federal standards for driver's licenses)
States' rights debates
- States' rights debates involve conflicts between the federal government and state governments over the proper balance of power
- Supporters of states' rights argue that the federal government has exceeded its constitutional authority and infringed on state powers
- Examples of states' rights debates include conflicts over gun control laws, abortion regulations, and environmental regulations
Federalism and the courts
Judicial review of federalism
- The Supreme Court has the power of judicial review, which allows it to interpret the Constitution and determine whether federal and state laws are constitutional
- In federalism cases, the Supreme Court often has to balance the powers of the federal government and state governments and determine whether a particular law or action is within the scope of the government's authority
- The Supreme Court's interpretation of federalism has evolved, with different eras marked by different approaches (dual federalism, cooperative federalism, new federalism)
Major federalism cases
- McCulloch v. Maryland (1819): The Supreme Court upheld the power of the federal government to create a national bank and ruled that states could not tax federal instrumentalities
- Gibbons v. Ogden (1824): The Supreme Court ruled that the Commerce Clause granted Congress broad power to regulate interstate commerce, including navigation
- Hammer v. Dagenhart (1918): The Supreme Court struck down a federal law regulating child labor, holding that the production of goods was not interstate commerce and therefore beyond the power of Congress to regulate
- United States v. Lopez (1995): The Supreme Court struck down a federal law prohibiting the possession of firearms near schools, holding that the law exceeded Congress's power under the Commerce Clause
- Printz v. United States (1997): The Supreme Court ruled that the federal government could not compel state officials to enforce federal laws, such as conducting background checks for firearms purchases
Key Terms to Review (23)
Printz v. United States: Printz v. United States is a landmark Supreme Court case decided in 1997, which held that the federal government cannot compel state officials to enforce federal laws, specifically concerning the Brady Handgun Violence Prevention Act. This decision emphasizes the principles of federalism by reinforcing the idea that states have their own powers and cannot be forced to act on behalf of the federal government, thus ensuring a balance between state and federal authority.
Hammer v. Dagenhart: Hammer v. Dagenhart is a landmark Supreme Court case from 1918 that ruled the Keating-Owen Child Labor Act unconstitutional, stating that Congress could not regulate child labor under the Commerce Clause. The case is significant as it highlighted the limitations of federal power in regulating local industry and the balance of power between state and federal governments.
United States v. Lopez: United States v. Lopez is a landmark Supreme Court case from 1995 that addressed the limits of Congress's power under the Commerce Clause. The decision marked a significant shift in the balance of power between the federal government and the states by ruling that carrying a gun in a school zone was not an economic activity that could be regulated by Congress under the Commerce Clause. This case underscored the importance of federalism by affirming states' rights to govern certain local matters without federal interference.
States' Rights: States' rights refer to the political powers and authority held by individual states rather than the federal government. This principle is rooted in the belief that states should have the ability to govern themselves and make decisions on various issues without excessive interference from the national government. The concept plays a significant role in the ongoing debate about the balance of power between state and federal authorities, particularly in areas like education, healthcare, and civil rights.
Unfunded Mandates: Unfunded mandates are regulations or policies imposed by higher levels of government on lower levels without providing financial support to cover the costs. These mandates can lead to significant financial burdens on states and local governments as they are required to comply with federal or state directives while having to find their own funding sources. The tension created by unfunded mandates highlights the challenges of federalism, where responsibilities and financial resources may not always align.
14th Amendment: The 14th Amendment to the United States Constitution, ratified in 1868, grants citizenship to all persons born or naturalized in the U.S. and ensures equal protection under the law. This amendment played a crucial role in defining citizenship and civil rights, especially for formerly enslaved individuals, while establishing a framework for federalism by limiting state power in relation to individual rights.
Cooperative Federalism: Cooperative federalism is a concept of federalism in which national and state governments work together to solve problems and provide services to citizens. This approach emphasizes collaboration and shared responsibilities, often leading to joint funding and policy-making between different levels of government. It recognizes that both levels of government play crucial roles in addressing complex issues that affect society as a whole.
Due Process Clause: The Due Process Clause is a constitutional guarantee that ensures fair treatment through the normal judicial system, particularly as a safeguard against arbitrary denial of life, liberty, or property by the government. This clause is found in both the Fifth and Fourteenth Amendments and establishes the foundation for protecting individual rights, connecting deeply to principles of federalism, the rights of the accused, and overall legal protections.
Competitive Federalism: Competitive federalism refers to a system where state and local governments compete for residents and businesses by providing better services, lower taxes, and more favorable regulations. This concept emphasizes the importance of the relationship between different levels of government and encourages innovation and efficiency as they strive to attract citizens and resources. In this system, citizens can vote with their feet, choosing to move to jurisdictions that better meet their needs.
Dormant commerce clause: The dormant commerce clause refers to the principle that states cannot enact legislation that discriminates against or excessively burdens interstate commerce, even in the absence of federal legislation regulating that commerce. This concept serves as a limitation on state powers, ensuring that economic activity flows freely across state lines without unnecessary barriers, and plays a significant role in federalism by balancing state and federal authority while also impacting judicial review by allowing courts to assess state laws' compatibility with interstate commerce.
Necessary and Proper Clause: The Necessary and Proper Clause is a provision in Article I, Section 8 of the U.S. Constitution that grants Congress the power to make all laws that are necessary and proper for carrying out its enumerated powers. This clause serves as a foundation for the expansion of federal authority, allowing Congress to adapt its legislative powers to meet the needs of the nation as it evolves. The flexibility provided by this clause plays a critical role in balancing the powers between federal and state governments within the framework of federalism.
Concurrent powers: Concurrent powers are those powers that are shared by both the federal and state governments in a federal system. These powers enable both levels of government to legislate, regulate, and tax simultaneously, creating a balance that allows for cooperation while maintaining individual authority. This dual authority is crucial for managing the complex relationship between national and local interests.
Reserved Powers: Reserved powers are those powers that are not specifically granted to the federal government by the Constitution and are instead reserved for the states or the people. This concept is rooted in the Tenth Amendment, which affirms that any powers not delegated to the federal government are retained by the states, allowing for a balance of power in a federal system. Reserved powers enable states to legislate on various issues such as education, transportation, and local law enforcement.
Preemption: Preemption refers to the legal doctrine where a higher authority, such as federal law, overrides or displaces a lower authority, like state law, in cases of conflict. This principle is essential in understanding the balance of power between federal and state governments, ensuring that federal laws are uniformly applied across the country while also acknowledging states' rights to legislate in certain areas.
11th Amendment: The 11th Amendment to the United States Constitution, ratified in 1795, establishes the principle of sovereign immunity, which protects states from being sued in federal court by citizens of another state or by foreign citizens. This amendment reflects the delicate balance of power between federal and state governments, a key feature of the federal system in the U.S.
Enumerated Powers: Enumerated powers are specific authorities granted to the federal government by the Constitution, primarily found in Article I, Section 8. These powers delineate what the government can do, such as regulating interstate commerce, coining money, and establishing a post office. They establish clear boundaries for federal authority and are essential for understanding the balance of power between state and federal governments.
Gibbons v. Ogden: Gibbons v. Ogden is a landmark Supreme Court case decided in 1824 that established the federal government's authority to regulate interstate commerce. This case arose when the state of New York granted a monopoly on steamboat navigation to Ogden, which conflicted with a federal license granted to Gibbons. The ruling clarified the scope of the Commerce Clause in the Constitution, emphasizing that federal law takes precedence over state law in matters of interstate trade.
McCulloch v. Maryland: McCulloch v. Maryland is a landmark Supreme Court case from 1819 that established the federal government's authority to create a national bank and confirmed the supremacy of federal laws over state laws. This case affirmed the use of implied powers under the Necessary and Proper Clause of the Constitution, setting a precedent for federalism and the relationship between state and national government powers.
Equal Protection Clause: The Equal Protection Clause is a provision in the Fourteenth Amendment of the U.S. Constitution that prohibits states from denying any person within their jurisdiction equal protection under the law. This clause is essential for ensuring that individuals are treated fairly and without discrimination, connecting directly to issues of civil rights, social justice, and the balance of power in the federal system.
Commerce Clause: The Commerce Clause is a provision in the United States Constitution found in Article I, Section 8, Clause 3, which grants Congress the power to regulate commerce with foreign nations, among the several states, and with Indian tribes. This clause is essential for understanding how federal power intersects with state authority and is a cornerstone of constitutional law, impacting economic activities and federalism in significant ways.
Supremacy Clause: The Supremacy Clause is a provision in Article VI, Clause 2 of the United States Constitution, which establishes that federal law takes precedence over state laws and constitutions when there is a conflict. This clause ensures a uniform legal framework across the country and affirms the authority of the Constitution as the supreme law of the land, thereby maintaining the integrity of federalism by delineating the power balance between national and state governments.
10th Amendment: The 10th Amendment to the United States Constitution states that powers not delegated to the federal government nor prohibited to the states are reserved to the states or the people. This amendment emphasizes the principle of federalism by delineating the division of authority between the national and state governments, ensuring that states retain a significant role in governance and decision-making.
Federalism: Federalism is a system of government where power is divided between a central authority and smaller political units, like states or provinces. This division allows for both national and local governance, creating a balance of power that helps to prevent any single entity from becoming too powerful. It plays a crucial role in how laws are made and enforced across different levels of government, influencing the relationship between citizens and the state.