Empire States: The Coming of Dual Federalism

abstract . This Article offers an alternate account of federalism’s late eighteenth-century origins. In place of scholarly and doctrinal accounts that portray federalism as a repudiation of models of unitary sovereignty, it emphasizes the federalist ideology of dual sovereignty as a form of centralization—a shift from a world of diffuse sovereignty to one where authority was increasingly imagined as concentrated in the hands of only two legitimate sovereigns.

In making this claim, the Article focuses on two sequential late eighteenth-century transformations. The first concerned sovereignty. Pre-Revolutionary ideas about sovereignty reflected early modern corporatist understandings of authority as well as imperial realities of uneven jurisdiction. But the Revolution elevated a new understanding of sovereignty in which power derived from the consent of a uniform people. This conception empowered state legislatures, which, throughout the 1780s, sought to use their status under new state constitutions as the sole repositories of popular authority to subordinate competing claims to authority made by corporations, local institutions, Native nations, and separatist movements.

The second shift came with the drafting and ratification of the U.S. Constitution, which bolstered federal authority partly in order to protect state authority against internal competitors—an aim reflected in the Guarantee and New State Clauses. Ultimately, the Constitution both limited and enhanced state authority; it entrenched a framework of dual sovereignty. After ratification, competitors to state sovereignty were increasingly constrained to appeal to some federal right or power. What had previously been contests among supposedly coequal sovereigns—what modern scholars would call horizontal federalism—became questions of vertical federalism, issues of whether federal authority would vindicate states or their opponents.

Although the Article concludes with some implications of this history for present-day federalism doctrine and theory, its primary contribution is descriptive. Judges and lawyers routinely and almost unthinkingly invoke localism and power diffusion as the historical values of federalism. Yet the history explored here challenges whether these near-universal assumptions about federalism’s aims actually reflect what federalism was designed to accomplish.

author. Associate Professor of Law, Stanford Law School. Thanks to Will Baude, Nikolas Bowie, Bill Ewald, Lawrence Friedman, Sally Gordon, Sarah Gronningsater, Amalia Kessler, Sophia Lee, Jessica Lowe, Serena Mayeri, Michael McConnell, Maggie McKinley, Bernie Meyler, Lance Sorenson, Norm Spaulding, the Harvard Public Law Workshop, the Stanford Faculty Workshop, the Penn Law Writer’s Bloc(k), and the UC Davis School of Law Faculty Enrichment Series for feedback. Special thanks to Alison Gocke and Michael Abrams for outstanding research assistance.

Announcing the Editors of Volume 134

Announcing the first-year editors of volume 133, announcing the seventh annual student essay competition.

logo that says helpful professor with a mortarboard hat picture next to it

10 Dual Federalism Examples

dual federalism example and definition

Dual federalism, also known as layer-cake federalism, is a system of government in which power is divided between the national and state governments. 

This concept of federalism posits that the national and state governments are distinct entities, each bearing its own unique range of responsibilities and authority.

Dual federalism states that the national and state governments have separate powers and responsibilities, usually outlined in a constitution. 

In other words, the federal government and individual states are like two distinct layers, one atop the other. 

The national government handles matters related to foreign policy, defense, and foreign trade, while the state governments retain authority over such matters as education and health care. 

Definition of Dual Federalism

Dual federalism is a form of government that divides and shares power between the national and state governments in an orderly manner. 

In this model of federalism, powers are portioned out vertically; each governmental body has exclusive authority over its own distinct responsibilities.

Smith and Greenblatt (2021) state that under dual federalism,

“…state governments exercise their powers without interference from the federal government” (p. 97).

According to Schaller (2016), it federalism:

“…also referred to as divided sovereignty, is a political arrangement in which power is divided between the federal and state governments in clearly defined terms, with state governments exercising those powers accorded to them without interference from the federal government” (p. 4).

Dual federalism is based on the idea of “ layer cake federalism ,” which suggests that national and state governments have designated powers and responsibilities. The two layers of government do not overlap, and they can act independently (Feeley & Rubin, 2011).

So, in simple terms, dual federalism is a system of governance in which the authority and responsibilities of both the national and state governments are clearly defined, separated, and respected.

10 Examples of Dual Federalism

  • Taxation : The federal government is responsible for collecting taxes on income. In contrast, the state governments are responsible for collecting taxes on goods and services.
  • Social s ecurity : The federal government is accountable for providing social security benefits to citizens, while the states are charged with administering these advantages.
  • Education : Under this model of federalism, the federal government is responsible for funding public schools. In contrast, state governments are primarily accountable for managing and operating these educational institutions.
  • Environmental protection : The federal government is answerable for developing environmental policies and enforcing them at the national level, while state and local governments are responsible for implementing these policies in their respective locales.
  • Transportation : The federal government is responsible for constructing interstate highways and providing funds for public transportation, while state governments are in charge of operating public transportation systems, as well as constructing and maintaining state roads and highways.
  • Law enforcement : The federal government is accountable for enforcing laws related to crime, terrorism, and immigration, while state governments are responsible for maintaining a police force and enforcing laws related to traffic and other misdemeanors. 
  • Healthcare : The federal government is responsible for issuing healthcare benefits and overseeing health insurance, while state governments are in charge of establishing the qualifications for Medicaid eligibility as well as managing its implementations.
  • Banking : The federal government is liable for regulating the banking industry, while state governments are in charge of issuing banking licenses and examining individual banks.
  • Immigration : The federal government is responsible for setting immigration laws, while state governments enforce these laws locally.
  • Trade : The federal government is accountable for negotiating trade agreements with other countries and imposing tariffs on imported goods while state governments implement these regulations.

Dual Federalism vs. Cooperative Federalism

Cooperative federalism emphasizes the interaction between the state and national governments (Schutze, 2009). 

Dual federalism follows the principle of “layer cake federalism,” where each layer of government is independent and responsible for its own designated area of authority.

In cooperative federalism, the national government provides funding and guidance to the state governments, who then have more flexibility in determining how this funding should be used (Raadschelders & Vigoda-Gadot, 2015).

Moreover, all state governments are mandated to obey the laws issued by the federal government.

Cooperative federalism is also known as “ marble cake federalism ” because the governments interact more frequently, and there is a greater overlap between their respective areas of authority (Raadschelders & Vigoda-Gadot, 2015).

The distinction between dual and cooperative federalism is that the former centers around the division of powers, such as division of expressed powers and implied powers . In contrast, the latter emphasizes cooperation and communication between national and state governments.

Features of Dual Federalism

Dual federalism is a form of government that recognizes and preserves the distinct powers of national and state governments while simultaneously allowing them to cooperate to better serve their citizens’ needs.

Here are the five features of dual federalism.

  • Two or more levels of government: Dual federalism recognizes two levels of government—the national and the state—and assigns each level the exclusive power to make laws in its own specific areas of authority (Schütze, 2013). So, the national government is responsible for making laws affecting the whole nation. In contrast, state governments are tasked with making laws that apply only within their states.
  • Jurisdictions of respective levels of government are specified in the constitution: Under dual federalism, the powers of each level of government are specified in the constitution. For example, the U.S. Constitution explicitly assigns the federal government authority over interstate commerce, foreign relations, and national defense (Schütze,  2013).
  • Restriction of each level of government’s power to its own jurisdiction: Unlike other forms of government, dual federalism explicitly restricts each level of government’s power to its own jurisdiction. It means that the national government cannot make laws regarding matters within the exclusive jurisdiction of state governments and vice versa (Smith & Greenblatt, 2021).
  • Courts have the power to interpret the boundaries of each level’s power: In dual federalism, courts can interpret and review the boundaries between each level’s power and ensure that one level of government is not overstepping its jurisdiction.
  • Interstate cooperation is allowed: Furthermore, with dual federalism, states can coordinate and collaborate to undertake projects impacting multiple regions (Schütze, 2013). It could include setting up a shared energy grid or another vital infrastructure development endeavor across state boundaries.

Advantages of Dual Federalism

Dual federalism has many advantages, including stronger civil rights protection , the ability to serve citizens’ needs better, and increased political autonomy for states.

  • Stronger civil rights protection: The division of powers between the national and state governments ensures that citizens’ rights remain better protected (Raadschelders & Vigoda-Gadot, 2015). For instance, in the event of a conflict between federal and state laws, federal laws prevail. It helps to provide citizens with greater protection against any unfair or unconstitutional state laws that may violate their civil rights.
  • Better ability to serve citizens’ needs: Ideally, dual federalism should allow the national and state governments to serve their citizens’ needs better. The national government can focus on issues that affect the whole nation, such as national security or foreign policy. Meanwhile, state governments can focus on issues more relevant to their citizens, such as transportation infrastructure or education.
  • Increased political autonomy for states: Under dual federalism, states enjoy more political autonomy than under other forms of government (Schutze, 2009). State governments are free to create laws, regulate economies, and manage public services. This increased autonomy helps states to better address the needs of their citizens. Additionally, this model of federalism helps preserve the sense of decentralization and diversity essential in a large, multicultural nation such as the United States. 

Disadvantages of Dual Federalism

Disadvantages of dual federalism include an increased bureaucratic system, the possibility of having conflicting laws between states and the national government, and a higher risk of citizens’ rights not being equally protected.

  • Increased governmental bureaucracy: Dual federalism can increase governmental bureaucracy, as each level of government must be staffed and maintained. It can result in increased costs for taxpayers, as well as decreased efficiency in the implementation of policies or services.
  • Potential for conflicting laws: Another disadvantage is the potential for conflicting laws between states and the federal government. As each level of government is free to make its own laws, there is the risk that one law might contradict another. Such a situation can lead to confusion and difficulty in enforcing the law. This risk is amplified when states pass laws conflicting with the federal government’s interpretation of the Constitution. 
  • Unequal protection of citizens’ rights: Ultimately, dual federalism can lead to discrepancies in protecting citizens’ rights. Consequently, while each state is empowered to make its laws and regulations, individuals living in one area may be exposed to a different level of safety than those residing elsewhere. For instance, some states may have more stringent gun control measures than others. This inequality can lead to unfairness and injustice in the enforcement of laws across the country.

Dual federalism is a system of shared powers that allows the national and state governments to exercise their authority in different areas. 

For example, the federal government can concentrate on challenges impacting the entire country while states may craft laws that better serve their individuals.

Compared to other forms of government, this model of federalism has several advantages, such as stronger civil rights protection, the ability to serve citizens’ needs better, and increased political autonomy for states. 

Nonetheless, increased government bureaucracy, the possibility of dissimilar laws, and unequal protection of citizens’ rights are all potential downsides.

Overall, dual federalism can effectively structure the relationship between governments that balances autonomy and cooperation.

Feeley, M., & Rubin, E. L. (2011).  Federalism: Political identity and tragic compromise . University of Michigan Press.

Raadschelders, J., & Vigoda-Gadot, E. (2015).  Global dimensions of public administration and governance: A comparative voyage . John Wiley & Sons.

Schaller, J. (2016).  Politically incorrect conservalexicon for the tenderfoot pundit . Dorrance Publishing.

Schutze, R. (2009). From dual to cooperative federalism: The changing structure of European law. Oxford University Press.

Schütze, R. (2013).  From dual to cooperative federalism . OUP Oxford.

Smith, K. B., & Greenblatt, A. (2021).  Governing states and localities  (8th ed.). Sage.

Viktoriya Sus

Viktoriya Sus (MA)

Viktoriya Sus is an academic writer specializing mainly in economics and business from Ukraine. She holds a Master’s degree in International Business from Lviv National University and has more than 6 years of experience writing for different clients. Viktoriya is passionate about researching the latest trends in economics and business. However, she also loves to explore different topics such as psychology, philosophy, and more.

  • Viktoriya Sus (MA) #molongui-disabled-link 15 Free Enterprise Examples
  • Viktoriya Sus (MA) #molongui-disabled-link 21 Sunk Costs Examples (The Fallacy Explained)
  • Viktoriya Sus (MA) #molongui-disabled-link Price Floor: 15 Examples & Definition
  • Viktoriya Sus (MA) #molongui-disabled-link Linguistic Relativity: 10 Examples and Definition

Chris

Chris Drew (PhD)

This article was peer-reviewed and edited by Chris Drew (PhD). The review process on Helpful Professor involves having a PhD level expert fact check, edit, and contribute to articles. Reviewers ensure all content reflects expert academic consensus and is backed up with reference to academic studies. Dr. Drew has published over 20 academic articles in scholarly journals. He is the former editor of the Journal of Learning Development in Higher Education and holds a PhD in Education from ACU.

  • Chris Drew (PhD) #molongui-disabled-link 25 Positive Punishment Examples
  • Chris Drew (PhD) #molongui-disabled-link 25 Dissociation Examples (Psychology)
  • Chris Drew (PhD) #molongui-disabled-link 15 Zone of Proximal Development Examples
  • Chris Drew (PhD) #molongui-disabled-link Perception Checking: 15 Examples and Definition

Leave a Comment Cancel Reply

Your email address will not be published. Required fields are marked *

icon

You are going to request writer Estevan Chikelu to work on your order. We will notify the writer and ask them to check your order details at their earliest convenience.

The writer might be currently busy with other orders, but if they are available, they will offer their bid for your job. If the writer is currently unable to take your order, you may select another one at any time.

Please place your order to request this writer

Johan Wideroos

Live chat online

PenMyPaper

Why choose us

EssayService strives to deliver high-quality work that satisfies each and every customer, yet at times miscommunications happen and the work needs revisions. Therefore to assure full customer satisfaction we have a 30-day free revisions policy.

PenMyPaper: a student-friendly essay writing website

We, at PenMyPaper, are resolute in delivering you professional assistance to write any kind of academic work. Be it marketing, business, or healthcare sector, we can prepare every kind of draft efficiently, meeting all the points of the question brief. Also, we believe in 'research before drafting'. Any work without ample research and evidence will be a flawed one and thus we aim to make your drafts flawless with exclusive data and statistics. With us, you can simply relax while we do the hard work for you.

  • Dissertations
  • Business Plans
  • PowerPoint Presentations
  • Editing and Proofreading
  • Annotated Bibliography
  • Book Review/Movie Review
  • Reflective Paper
  • Company/Industry Analysis
  • Article Analysis
  • Custom Writing Service
  • Assignment Help
  • Write My Essay
  • Paper Writing Help
  • Write Papers For Me
  • College Paper Writing Service

dual federalism essay

Niamh Chamberlain

Essay writing help has this amazing ability to save a student’s evening. For example, instead of sitting at home or in a college library the whole evening through, you can buy an essay instead, which takes less than one minute, and save an evening or more. A top grade for homework will come as a pleasant bonus! Here’s what you have to do to have a new 100% custom essay written for you by an expert.

To get the online essay writing service, you have to first provide us with the details regarding your research paper. So visit the order form and tell us a paper type, academic level, subject, topic, number and names of sources, as well as the deadline. Also, don’t forget to select additional services designed to improve your online customer experience with our essay platform.

Once all the form fields are filled, submit the order form that will redirect you to a secure checkout page. See if all the order details were entered correctly and make a payment. Just as payment is through, your mission is complete. The rest is on us!

Enjoy your time, while an online essay writer will be doing your homework. When the deadline comes, you’ll get a notification that your order is complete. Log in to your Customer Area on our site and download the file with your essay. Simply enter your name on the title page on any text editor and you’re good to hand it in. If you need revisions, activate a free 14-30-day revision period. We’ll revise the work and do our best to meet your requirements this time.

  • Password reminder
  • Registration

IMAGES

  1. Characteristics Of Dual Federalism

    dual federalism essay

  2. Dual and Cooperative Federalism Essay Example

    dual federalism essay

  3. ⇉Dual and Cooperative Federalism Essay Example

    dual federalism essay

  4. ⇉Dual vs Cooperative Federalism Compare and Contrast Essay Example

    dual federalism essay

  5. Dual Federalism And Cooperative Federalism

    dual federalism essay

  6. Dual federalism, Political science, Competitive federalism

    dual federalism essay

COMMENTS

  1. Dual Federalism in Late Nineteenth and Early Twentieth Centuries

    Footnotes Jump to essay-1 See Edward S. Corwin, The Passing of Dual Federalism, 36 Va. L. Rev. 1, 4 (1950) (defining Dual Federalism as involving the following postulates: 1. The national government is one of enumerated po we rs only; 2. Also the purposes which it may constitutionally promote are few; 3. Within the ir respective spheres the two centers of government are 'sovereign' and ...

  2. Dual federalism

    Dual federalism, also known as layer-cake federalism or divided sovereignty, is a political arrangement in which power is divided between the federal and state governments in clearly defined terms, with state governments exercising those powers accorded to them without interference from the federal government.

  3. Essay On Dual Federalism

    Open Document Federalism is a division of power in a central government and their regional governments. (Learners.org, Federalism US vs. The States). The first system of federalism is dual federalism. Dual federalism is the state government has their own responsibilities and the national government has their own responsibilities.

  4. Dual Federalism Essay

    Dual Federalism Essay 255 Words 2 Pages a) Federalism directly addresses relationships that deals with the division between national and state governments. There are two types of Federalisms, one of them is called dual federalism. This means that the states and national governments remain in their own spheres and is known as a "layer cake".

  5. Essay On Dual Federalism

    Essay On Dual Federalism 442 Words2 Pages Federalism has evolved since its beginning within our government and has effected how are governments works. The power of states vs. the power of the national government was a major concern of the american people, so much so that the rights that each one has were written into our constitution.

  6. Dual Federalism In American Politics

    Dual federalism is credited to "in which state and national government had relatively clear responsibilities. The state wielded at least as much authority as the federal government's" (96). It can be described as a clean cut layer cake. Each branch ( national,state and local) 516 Words. 3 Pages.

  7. Empire States: The Coming of Dual Federalism

    Gregory Ablavsky. abstract. This Article offers an alternate account of federalism's late eighteenth-century origins. In place of scholarly and doctrinal accounts that portray federalism as a repudiation of models of unitary sovereignty, it emphasizes the federalist ideology of dual sovereignty as a form of centralization—a shift from a ...

  8. Dual Federalism Essay

    Day (1807). A Supreme Court case that challenged the authority of the federal government to tax income of a state judge. The majority stated, " The general government and the states, although both exist within the same territorial …show more content…

  9. Dual Federalism Essay

    Dual federalism is a form of federalism that divides the powers of the state and the powers of the national or federal government, like in the United States of America where there is one central government and fifty separate state governments.

  10. Dual Federalism in Late Nineteenth and Early Twentieth Centuries

    Commerce Federalism Supreme Court Footnotes See Edward S. Corwin, The Passing of Dual Federalism, 36 Va. L. Rev. 1, 4 (1950) (defining Dual Federalism as involving the following postulates 156 U.S. 1, 12 (1895) ( An annotation about Article VI of the Constitution of the United States.

  11. 10 Dual Federalism Examples (2024)

    Dual federalism, also known as layer-cake federalism, is a system of government in which power is divided between the national and state governments. This concept of federalism posits that the national and state governments are distinct entities, each bearing its own unique range of responsibilities and authority.

  12. Dual Federalism in Late Nineteenth and Early Twentieth Centuries

    See Edward S. Corwin, The Passing of Dual Federalism, 36 Va. L. Rev. 1, 4 (1950) (defining Dual Federalism as involving the following postulates: 1. The national government is one of enumerated powers only; 2. Also the purposes which it may constitutionally promote are few; 3. Within their respective spheres the two centers of government are ...

  13. Free Essay about Dual Federalism and Cooperative Federalism

    Free Essay about Dual Federalism and Cooperative Federalism Published: 2022-02-22 8 min read 143 views Free download Federalism is a political structure of administration where different governments come together and exhibiting control over a specific territory and people.

  14. Dual Federalism In The United States

    3 Pages Open Document Analyze This Draft Dual Federalism In The United States View Writing Issues Filter Results Federalism in the United States has had several different concepts throughout our history. Dual federalism ran until around the Great Depression of the 1930s.

  15. Dual Federalism Essay

    The idea of dual federalism is that each level of government has defined powers. And not to be forgotten, the federal government cannot exceed those powers. Nullification helped to evolve the nature of this era of federalism. Dual federalism came to an end in the 1930s. Ultimately, the national government appears to have more power over the ...

  16. Essay On Dual Federalism

    From the founding of America until nineteen thirty-seven there was a form a federalism called dual-federalism which has also been called divided sovereignty in which power was divided between the federal and state governments in clearly defined terms.

  17. dual federalism definition Free Essay Example

    Essay Sample: This is a state of government where power is shared in between the federal and the state federal governments. ... and programs is clearly specified. Dual federalism is generally compared to a layer cake whereby the levels of powers do not overlap each other. In this case, no level needs to disrupt the powers of the other. That is ...

  18. Dual Federalism In The United States

    Dual Federalism is where each government, state and federal, has clear, exclusive control over certain areas, which leads some to call this "layer-cake federalism" since there is a clear line between the two (Christiansen). At its start, the national government did not spend as much as the states, so therefore, it had less power.

  19. Dual Federalism Essay

    Dual Federalism Essay a) Federalism directly addresses relationships that deals with the division between national and state governments. There are two types of Federalisms, one of them is called dual federalism. This means that the states and national governments remain in their own spheres and is known as a "layer cake". The second type of ...

  20. Dual federalism Essays

    Dual Federalism Essay 843 Words | 2 Pages. When federalism first developed, it was called dual federalism which lasted from 1789 to 1937. Dual federalism was a model in which the responsibilities and activities of the national and state governments were separate and distinct.

  21. Dual Federalism Essay

    Dual Federalism Essay, What Is A A Narrative Essay, American Conservatives After World War 2 Essay, Psychology Research Papers On Bullying, Thesis Motion Platform, Cold Mountain Essay Titles, Corrig De Dissertation De Philosophie Gratuit

  22. Dual Federalism Essay

    4.7/5. Dual Federalism Essay, Analysis Editor Services Online, Rainforest Topic Homework Ideas, 401 Essay Topics, Essay On Winter Vacation For Class 1, Essay Course Evaluation, Effective Words To Use When Writing A Resume. amlaformulatorsschool. 4.9 stars - 1936 reviews.

  23. Dual Federalism Essay

    4 reasons to write my essay with us! You are always welcome to check some of our previously done projects given on our website and then judge it for yourself. Apart from that, we can give you 4 significant reasons to be a part of our customer base: 4.7/5. Use our user-friendly form to place your order. Please remember that your e-mail is both ...