Explain the role and importance of Federalism in the Constitutional system of government.
Robin Walden
Politics in the USA
Tutor: Donna Jackson
Explain the role and importance of Federalism in the Constitutional system of government.
When the founding fathers constructed the American constitution in 1787, Federalism was absolutely crucial to the basis of the revision of the Articles of Confederation. The Constitution itself was testament to the Founding Fathers' will to implement a central government, for the Articles of Confederation had proven ineffective in providing a unifying leadership. The system of Federalism addressed this problem whilst remaining wary of the possible abuse of this authority, represented through the political power distributed to the States. This preservation of democracy represents the Founding Fathers biggest concern and this legacy of freedom and liberty remains today as essential to the American character. Not only was it important to separate the powers to protect democracy, but cultural and political differences between the states demanded that local governments oversee local issues. The changing role and definition of Federalism from 1789 to present is also important to consider, with special consideration required in the transformation it has undertaken in the twentieth century. Federalism has always been at the cornerstone of democracy in the United States and this surely remains the case today, for the American people have always identified themselves as an American and as an American of a particular state. Federalism allows this dual identity, and the constitutional power enshrined to the States ensures that central government is deliberately restricted, and certain powers are preserved to for the States.
The primary concern for the Founding Fathers was merely to find a way to implement democracy and the system of Federalism enabled this in a "mode of political organization that unites separate policies within an overarching political system"1. The reasons that Federalism was chosen as this form of democratic government is are important to consider, the ideals (doesn't make sense) of the Founding Fathers are represented through the Constitution, specifically the mistrust of strong central authority. Despite this "certain distrust of human nature"2, the founding fathers also realised that the Articles of Confederation were not unifying, nor strong enough to serve the peoples of Eastern America: "there are important needs which can be met only through co-operation, and if the looser forms of co-operation prove utterly inadequate, the result must inevitably be a demand for more effective and intimate union."3. Therefore the system of Federalism appears to represent this necessary compromise, where power is centralized with the Federal government and localised amongst state governments. Thus the potential for corrupting influences within central government is minimal, due to the powers attributed to the States, keeping a check on any such incidence.
Indeed the tenth amendment of The Constitution did not exclusively enumerate powers to the States; instead it left broad scope for interpretation, through non-specification of the States role: "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."4 Under the 'strict constructionist' concept, there may be objections to the tasks the States have assumed, yet using the idea of 'implied powers' the States have tended to assume responsibility for the roles such as education, health and other such tasks. The motivation for the inclusion of this amendment was primarily from the anti-Federalists, those particularly cynical of centralized power who believed "central power can be limited by ensuring that the administration of a whole range of domestic policies is conducted at the state and local level"5. This theory of Federalism has been interpreted as "different agents and trustees of the people...designed for different purposes"6; "...larger governments primarily responsible for raising revenues and setting standards, and the smaller ones primarily responsible for administering programs"7. Therefore the role of Federalism, through the separation of powers, includes the assignment of responsibility and the separation of responsibility (perhaps another word eg. Liability/accountability), making each government supreme in their area of authority.
The importance of Federalism is, in essence, entirely concurrent with the roles of Federalism. Questioning the importance of Federalism is essentially to ask why the separation of powers is so significant to the Constitution of America. The impact of Federalism to the American system is not to be underestimated, for it was the first time the States had implemented a truly unifying and centralising piece of legislation, and a piece of legislation that would see America remain essentially unified over 200 years later. The Constitution was "the result of a long succession of efforts at intercolonial co-operation"8. The ...
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The importance of Federalism is, in essence, entirely concurrent with the roles of Federalism. Questioning the importance of Federalism is essentially to ask why the separation of powers is so significant to the Constitution of America. The impact of Federalism to the American system is not to be underestimated, for it was the first time the States had implemented a truly unifying and centralising piece of legislation, and a piece of legislation that would see America remain essentially unified over 200 years later. The Constitution was "the result of a long succession of efforts at intercolonial co-operation"8. The Articles of Confederation were of course an initial attempt at joining the States, yet the lack of a central body dictated that for any true unification, a new accord would have to be reached; the implementation of the Federal system and the inclusion of the executive and legislative branch within the Constitution provided the necessary measures for this to occur. The States' powers within this dual sovereignty meant the guarantee of "constitutional integrity"9, and the States would always therefore remain imperative to the Constitution. For the first time however, the people were to be guided by a central body, a hugely important step for America, all occurring within the Federal system. James Madison believed that "ultimate authority...resides in the people alone"10, suggesting he believed that the Federalist system represented the most democratic form of government for the people, "an instrument of national democracy"11. Significantly, this belief is represented in the Constitution and is very different from other established forms of government, such as the British Parliamentary system, where the potential for tyranny was believed to be great.
Crucial to Federalism in the Constitution is how it represents the Founding Fathers fear of tyrannical government. The motivations for the separation of powers are nearly wholly based around this fear of corrupting authority. French aristocrat Alexis de Tocqueville was critical of the Federal form of Government in the nineteenth century, yet despite this he saw many merits in its democratic nature, believing that "Federalism frustrates and deflects the energies of the men of ambition and glory who have been the bane of great republics in the past"12. He is surely referring to the fact that there is no one overwhelming authority, instead there is a series of authorities between state and central government, discouraging and indeed making improbable, any abuse of power. Samuel H. Beer believes that not only does Federalism discourage tyranny but "the social plurism of the general government will counteract tendencies toward a factional abuse of power in the subordinate governments."13, thereby acting as a check on the system, reducing further the risk of abuse. The power distributed to the States ensure that power "cannot legitimately be centralized or concentrated without breaking the structure and spirit of the constitution"14, once more ensuring that no kind of autocracy could be implemented established within America. The powers of the States are substantial; with the most important role being the ratification of constitutional amendments. As long as the States remain a part of the Constitutional process, there is no possibility that their influence will disappear, or diminish significantly; their rights and responsibilities are constitutionally protected and for this reason the role of the States is of huge importance. This example conforms to and adheres to Tocqueville's views that the republic is well protected through Federalism, once more deflecting the possibility of tyranny.
The construction of the Constitution also considered the cultural and political differences between states; "the variations in climate and crops, the divergences in nationality, religion, and social structure, and the presence or absence of institutions like slavery"15. Despite their proximity to one another, late eighteenth century 'American' states had little to bind them together, such were the demographic and cultural contrasts along the east coast. The merchant north was significantly different to the agricultural south, and while much of the south relied on slavery it was unpopular in the north. These differences required the founding fathers to allow the states to rule themselves to a certain extent; local jurisdiction was required in order to compensate for these differences and the Federal form of government could accommodate this. To have been ruled simply by a central government would have surely meant enormous division and resentment between states and furthermore, the Constitution would surely never have been ratified in 1789. Alexis de Tocqueville once more praised the collective collectiveness and individuality of Federalism: "The federal form...allows the Union to enjoy the power of a great republic and the security of a small one"16 Tocqueville is here referring to the benefits the people receive through Federalism, the benefit of a collective government with the advantage of localised, more personal government (another word?? Eg. Administration). Tocqueville's praising of local authority is further underlined when he says "The American federal system is rooted in local liberty"17. This emphasis on the importance of local self-government is reflected in the federalist nature of the Constitution by the significant powers that are given to the States, enabling them to distinguish themselves as culturally and politically individual whilst participating in general American society as a collective.
The Federal system, in theory, allows state and central government to be supreme in their respective areas of authority, yet it often occurs that these lines of authority become distorted and this has occurred mainly in the twentieth century and especially since the New Deal coalition of the 1930's. "The suggestion that the American system is not pyramidal does not mean that there are no lines of authority within it"18 and it is more frequently the Federal government that takes jurisdiction over the states. This, despite the principal that the states should be "substantially immune from Federal interference"19 (what... sounds like half a sentence). Modern observers would surely agree that "classical federalism...is effectively dead"20, in that the Founding Fathers concept of Federalism has been re-formatted to such an extent that the role and importance of Federalism today is hugely different to the responsibility persons like Thomas Jefferson and James Madison assigned to it.
The Dual federalism of the pre-twentieth century government saw each form of government remain within itself; both the central and local authorities were indeed "supreme" in their roles, controlling taxation or overseeing local crop production. Yet the Great Depression of the late 1920's saw President Franklin Delano Roosevelt significantly expand the federal government in size and influence. Since this time the legacy of the New Deal coalition, considered to have ended in the 1960's, has meant that the system in America has never recovered to the "classical federalism" of the nineteenth century. The role of Federalism has therefore changed forever, yet its importance remains today as it did in 1789. Significantly, the debates over the de-centralizing of government after Roosevelt's New Deal and President Johnson's Great Society rage today. The 1990's saw attempts from President Clinton to scale down the size of the Federal government in an effort to redirect power back toward the states, with limited success: "The federal role may have been reduced but it has not been transformed"21. A 1995 survey saw sixty four percent of American's prefer concentration of power in state government, compared with forty four percent of people in 1936, proving that "faith in state government has increased".22 However, it is important to realise that the twentieth century saw a huge change in the role of Federal government in America. Today, it is largely accepted that Federal or central government have a responsibility, at least in fiscal policy, to aid the people of America and this requires a large federal government, essentially demanding that the states accept a reduced responsibility for the good of the people. This may not conform to the principals of Federalism as stated by James Madison, yet he himself hinted that such a change "can only result from such manifest and irresistible proofs of a better administration"23, and therefore saw the possibility for such an expansion, should it be necessary. Therefore the changing role of Federalism has not diminished its importance, it is still regarded as essential that the separation of powers remain, despite the fact the Federal government may appear supreme in more areas than was constituted, and indeed appear supreme over the states.
Therefore the role and importance of Federalism to the Constitutional form of government must not be understated. The significance of the separation of powers is based in the Founding Fathers fear of tyrannical, undemocratic government, and their will to stop any such government emerging in America. Also of motivation in the Constitution's construction was the will to preserve the individual states identity through their self-governance within this Federalist system; Federalism's capacity to allow both overall and individual government is essential to this. Despite the modern reduction in the influence of State government, the Constitution preserves the states' rights, ensuring their influence will remain and they will act as a check on the central government. Whether or not the Founding Fathers would concur with the current state of Federalism in America is debateable, yet the circumstances of the twentieth century undeniably demanded the increase in the role of Federalism. Current intergovernmental relations may revert to a more 'classical' form of federalism as and when circumstances allow, yet the fact that these debates remain underlines the continuing importance of Federalism. The separation of powers and consequent protection of democracy remains essential to the American political system, and the Founding Fathers legacy remains today in the form of Federal government.
Word Count: 2208
Bibliography
Samuel H. Beer "Federalism, Nationalism and Democracy in America" (The American Political Science Review, 1978)
Daniel J. Elazar, American Federalism A View From the States (Harper and Row, 1984)
Robert A. Goldwin, A Nation of States, (1974, Ohio)
(Presented by) Mr. Hyde, The Constitution of the United States of America, (United States Government Printing Office, Washington, 2000)
John Kincaid "Federal Democracy and Liberty" (Political Science and Politics, 1999)
James Madison, "The Federalist, No. 46. The influence of the State and Federal Governments Compared, January 29 1788" (http://www.constitution.org/fed/federa46.htm)
David McKay, American Politics & Society 5th ed., (Blackwell Publishing 2001)
Garry K. Ottosen, Making American Government Work, (University Press of America, 1997)
John C. Ranney, "The Bases of American Federalism", (The William and Mary Quarterly, 1946)
Daniel J. Elazar, American Federalism A View From the States (Harper and Row, 1984) p2
2 Samuel H. Beer "Federalism, Nationalism and Democracy in America" (The American Political Science Review, 1978) p12
3 John C. Ranney, "The Bases of American Federalism", (The William and Mary Quarterly, 1946) p14
4 (Presented by) Mr. Hyde, The Constitution of the United States of America, (United States Government Printing Office, Washington, 2000) p14
5 Robert A. Goldwin, A Nation of States, (1974, Ohio) p131
6 James Madison, "The Federalist, No. 46. The influence of the State and Federal Governments Compared, January 29 1788"
7 Daniel J. Elazar, American Federalism A View From the States (Harper and Row, 1984) p51
8 John C. Ranney, "The Bases of American Federalism", (The William and Mary Quarterly, 1946) p34
9 David McKay, American Politics & Society 5th ed., (Blackwell Publishing 2001) p62
0 James Madison, "The Federalist, No. 46. The influence of the State and Federal Governments Compared, January 29 1788"
1 Samuel H. Beer "Federalism, Nationalism and Democracy in America" (The American Political Science Review, 1978) p9
2 John Kincaid "Federal Democracy and Liberty" (Political Science and Politics, 1999) p213
3 Samuel H. Beer "Federalism, Nationalism and Democracy in America" (The American Political Science Review, 1978) p13
4Garry K. Ottosen, Making American Government Work, (University Press of America, 1997) p7
5 John C. Ranney, "The Bases of American Federalism", (The William and Mary Quarterly, 1946) p40
6 John Kincaid "Federal Democracy and Liberty" (Political Science and Politics, 1999) p211
7 John Kincaid "Federal Democracy and Liberty" (Political Science and Politics, 1999) p212
8 Robert A. Goldwin, A Nation of States, (1974, Ohio) p116
9 Daniel J. Elazar, American Federalism A View From the States (Harper and Row, 1984) p7
20 David McKay, American Politics & Society 5th ed., (Blackwell Publishing 2001) p76
21 David McKay, American Politics & Society 5th ed., (Blackwell Publishing 2001) p73
22 David McKay, American Politics & Society 5th ed., (Blackwell Publishing 2001) p74
23 James Madison, "The Federalist, No. 46. The influence of the State and Federal Governments Compared, January 29 1788"