Federalism Lecture Video Transcription
FEDERALISM
Let us begin with two considerations:
1) Jason Nelson grew marijuana legally under Oregon law, but was convicted of manufacturing marijuana under federal law.
2) Edith Windsor and Thea Clara Spyer were legally married under New York law, but not under federal law. As a result, Ms. Windsor was ordered to pay over $300,000 in federal taxes on Ms. Spyer’s estate.
How is this possible? The answer is federalism.
What is Federalism? FEDERALISM is a hybrid form of government that mixes elements of a confederation, like the Articles of Confederation, and a unitary government (Ex. The United States under the constitution)
A CONFEDERATION meanwhile, is a form of government in which lower-level (state) governments have primary control (Ex. The United States under the Articles of Confederation)
Finally, a UNITARY GOVERNMENT is a form of government where the national government has primary control (Ex. Sweden)
CONFEDERATION + UNITARY STATE = FEDERALISM
Federalism: The Rules of the Game
The same people and territory are included in both levels of government
(Ex. The citizens of California are both Californians and Americans)
The Nation’s constitution protects units at each level of government from encroachment by the other units, which means that it is specified in the constitution the ways a federal government cannot seize state power and ways in which the state government cannot overrun federal power
Each unit is in a position to exert some leverage over the others
How can US history – particularly the time around the nation’s founding, help us understand US federalism?
Federalists wanted a unitary state
Anti-federalists wanted a confederation
Federalism was a compromise
Diverse opinions on key issues – federalism allows for representation of these ideas
Other Federal Systems in the world:
Canada, Spain, Belgium, Switzerland, India, Pakistan, Russia, Brazil, Germany, Australia
TYPES OF FEDERALISM
Dual Federalism
- States and federal governments each have their own distinct spheres of authority
- This is what the framers intended the US to look like
- Can be thought of as a layered cake – each layer is separate and distinct
Cooperative Federalism
- State and federal governments share power within a variety of spheres
- The US has increasingly moved toward cooperative federalism
- Can be thought of as a marble cake – the layers intertwine with one another
THE MOVE FROM DUAL TO COOPERATIVE FEDERALISM
A change in senate elections
Senators were originally elected by state legislatures; this led them to focus on states’ interests, strengthened the state government, and solidified the dual federalism framework
When Senate elections switched to popular, direct election in 1913, states lost this stronghold of state power. Senate became concerned with national interests.
The Great Depression
Those suffering from the effects of the Great Depression welcomed federal action under the New Deal, but this set a precedent of such sweeping regulations on the part of the federal government that was reserved in the states in the past
The need for collective action
Simple coordination – standardized laws for things like driver licenses
Tragedy of the commons – unified efforts on things like pollution control
Prisoner’s dilemma – If states can engage in international trade, this allows other nations to exploit individual state interests at the expense of the nation
FEDERAL POWERS | SHARED POWERS | STATE POWERS |
Coin money/ manage currency | Tax | Conduct elections |
Conduct foreign relations | Establish courts | Ratify constitutional amendments |
Raise an army and a navy | Provide public safety | Provide public education |
Declare war/national defence | Make and enforce laws | License professions |
Regulate inter-state commerce | Charter banks and corporations | Establish a system of family law |
Establish a postal system | Spend money for general welfare | Take measures for public health, safety and morals |
Establish a system of copyrights and patents | Take private property for public purposes | Exercise powers that the constitution does not specifically prohibit |
Make laws that are necessary and proper to carry out the foregoing powers |
| Establish local governments |
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| Regulate commerce within the state |
TOOLS OF FEDERALISM
Supreme Court typically sides with the federal government
Pre-emption legislation allows the federal government to claim the right to legislate in certain policy areas
Implied pre-emption – federal legal structure is so pervasive and widespread as to “occupy the field”
E.G. Labor relations, immigration, drug laws
Fiscal federalism – the federal government controls state budgets since they give money to it
CARROTS – Federal grants to states to encourage them to act in accordance with national interests
(GRANT-IN-AID is money given to states for a specific purpose; BLOCK GRANTS is money given to a state for a specific purpose and may spend more (of their own money) on the cause or less (the extra money stays in the federal treasury and; MATCHING GRANTS are given to states to match their efforts in program provision – these lead to extensive program expansion)
STICKS – Tools of coercion used by the federal government
UNFUNDED MANDATE – Requires states to make changes to meet national standards but do not provide funding to do so; a threat to withhold other funding if changes are not made-rules are not followed
Pros
Economic Protection
Diverse laws for diverse needs
Closeness to the people
Allows for Innovation and experimentation
Citizens can vote with their feet
Cons
Unequal Economic Policies
Complex and without transparency/accountability
Threats to civil rights/liberties
Travel/moves can change legal rights and obligations
