Government Structure and Federalism
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Transcript of Government Structure and Federalism
April 19, 2023April 19, 2023 Introduction to American PoliticsIntroduction to American Politics 11
Government Structure Government Structure and Federalismand Federalism
Frank BrooksFrank Brooks
22April 19, 2023April 19, 2023
The Constitution as a ContractThe Constitution as a Contract
Lays out key elements of governmentLays out key elements of government purposespurposes structurestructure powerspowers limitslimits
Skeletal framework, not detailed blueprintSkeletal framework, not detailed blueprint Constitution is vague, “inspired ambiguity”Constitution is vague, “inspired ambiguity” provides flexibility and stabilityprovides flexibility and stability channels conflict into “political” channelschannels conflict into “political” channels
33April 19, 2023April 19, 2023
Powers: Formal and EvolvedPowers: Formal and Evolved
Formal, constitutional powers Formal, constitutional powers Congress (Article 1) Congress (Article 1) President (Article 2) President (Article 2) Supreme Court (Article 3)Supreme Court (Article 3)
Informal, evolved powersInformal, evolved powers Congress – “necessary and proper clause” (elastic)Congress – “necessary and proper clause” (elastic) President – “inherent” (implied) powersPresident – “inherent” (implied) powers
Many rooted in “commander in chief” authorityMany rooted in “commander in chief” authorityCapacity to lead nation enhanced by technologyCapacity to lead nation enhanced by technologyDevelopment of national constituencies and interestsDevelopment of national constituencies and interests
Supreme Court – judicial reviewSupreme Court – judicial review
“To make all Laws which shall be necessary and proper for carrying into Execution the foregoing Powers, and all
other Powers vested by this Constitution in the Government of the United States, or in any Department
or Officer thereof.” (Article I, Section 8)
44April 19, 2023April 19, 2023
Limits on National GovernmentLimits on National Government
ConstitutionalConstitutional Limits Limits
Amendment ProcessAmendment Process channels policy change into political channelschannels policy change into political channels
Separation of Powers; Checks and BalancesSeparation of Powers; Checks and Balances Decentralize power by separating itDecentralize power by separating it Encourage competition between power centersEncourage competition between power centers
FederalismFederalism Acknowledge and define role of state and local Acknowledge and define role of state and local
governments as counterweightgovernments as counterweight
55April 19, 2023April 19, 2023
Amending the ConstitutionAmending the Constitution
ProposalProposal By 2/3 vote of By 2/3 vote of bothboth houses of Congress (A) houses of Congress (A) By 2/3 of state legislatures calling for a convention (B)By 2/3 of state legislatures calling for a convention (B)
RatificationRatification By ¾ of state legislatures (C)By ¾ of state legislatures (C) By ¾ of state ratifying conventions (D)By ¾ of state ratifying conventions (D)
History of amendmentHistory of amendment Only 27 (17 since Bill of Rights)Only 27 (17 since Bill of Rights) AC route for all but oneAC route for all but one Difficulty of amendment channels policy change to Congress, Difficulty of amendment channels policy change to Congress,
executive branch, even courtsexecutive branch, even courts
66April 19, 2023April 19, 2023
Separation of PowersSeparation of Powers
Three branches; four significant partsThree branches; four significant parts Horizontal separation (among the branches)Horizontal separation (among the branches) Congress (consider both chambers)Congress (consider both chambers)
HouseHouseSenateSenate
Presidency [Executive Branch]Presidency [Executive Branch] CourtsCourts
Three Three kindskinds of separation into those four parts of separation into those four parts FunctionFunction ConstituencyConstituency TermTerm
77April 19, 2023April 19, 2023
Separation by FunctionSeparation by Function
HouseHouse LegislativeLegislative SpendingSpending
SenateSenate LegislativeLegislative Executive: approve nominations, ratify treatiesExecutive: approve nominations, ratify treaties
PresidentPresident ExecutiveExecutive Foreign relationsForeign relations
CourtsCourts JudicialJudicial Interpret ConstitutionInterpret Constitution
88April 19, 2023April 19, 2023
Separation by ConstituencySeparation by Constituency
HouseHouse Chosen by voters in Congressional Chosen by voters in Congressional districtsdistricts Narrowest representation, most accountabilityNarrowest representation, most accountability Redistricting and “gerrymandering”Redistricting and “gerrymandering” Illinois’ Illinois’ Fourth Congressional District
SenateSenate Chosen by Chosen by statesstates (legislatures, then voters) (legislatures, then voters) More heterogeneous constituency than HouseMore heterogeneous constituency than House
PresidentPresident ““National”National” constituency (distorted by electoral college) constituency (distorted by electoral college)
CourtCourt Federal judges chosen by President and SenateFederal judges chosen by President and Senate ““represent” the Constitution (defend it against threats)represent” the Constitution (defend it against threats)
1010April 19, 2023April 19, 2023
Separation by TermSeparation by Term
CourtCourt ““life” term life” term
HouseHouse 2 years, no term limits2 years, no term limits
SenateSenate 6 years (staggered), no term limits6 years (staggered), no term limits
PresidentPresident 4 years, 2 term limit (after 224 years, 2 term limit (after 22ndnd Amendment) Amendment)
Cannot gain control of all the government all at Cannot gain control of all the government all at the same timethe same time
“shall hold their Offices during good Behaviour” (Article 3, Section 1)
1111April 19, 2023April 19, 2023
Checks and BalancesChecks and Balances
Consider FDR’s court-packing schemeConsider FDR’s court-packing scheme
Separation of powers may slow down concentration of Separation of powers may slow down concentration of power, but can’t stop itpower, but can’t stop it
““Ambition must be made to counteract ambition”Ambition must be made to counteract ambition” Assume that office-holders need/want powerAssume that office-holders need/want power Give each part tools to interfere with other partsGive each part tools to interfere with other parts Let competition among parts limit overall power, or at least Let competition among parts limit overall power, or at least
ensure that power used appropriatelyensure that power used appropriately
Broad impact of checks and balances Broad impact of checks and balances enforce separationenforce separation compel cooperation and compromisecompel cooperation and compromise
1212April 19, 2023April 19, 2023
FederalismFederalism
Separation of power between Separation of power between levelslevels of of government (vertical)government (vertical)Historical context Historical context shift of power away from statesshift of power away from states But, left them considerable authorityBut, left them considerable authority
Complex subject (abstract to concrete)Complex subject (abstract to concrete) StructureStructure of relationship between states & federal of relationship between states & federal How the How the ConstitutionConstitution describes terms of relationship describes terms of relationship InterpretationInterpretation of Constitutional language of Constitutional language PoliticsPolitics of relationship (especially money) of relationship (especially money)
1313April 19, 2023April 19, 2023
Structure of FederalismStructure of Federalism
• Unitary Government
• Confederal Government
• Federal Government
1414April 19, 2023April 19, 2023
Federalism in the ConstitutionFederalism in the Constitution
““National Supremacy” Clause (Article 6)National Supremacy” Clause (Article 6) Seems to favor national governmentSeems to favor national government Anti-Federalists sought clarification/dilutionAnti-Federalists sought clarification/dilution
Tenth AmendmentTenth Amendment National government has National government has “delegated”“delegated” powers powers
E.g. regulate interstate commerce, raise armyE.g. regulate interstate commerce, raise army
Only those explicitly mentioned in Constitution?Only those explicitly mentioned in Constitution? States governments have States governments have “reserved”“reserved” powers powers
Residual category (after powers prohibited to states)Residual category (after powers prohibited to states)
Includes “police” powers, educationIncludes “police” powers, education
This Constitution, and the Laws of the United States which shall be made in Pursuance thereof; and all Treaties made, or which shall be made, under the
Authority of the United States, shall be the supreme Law of the Land; and the Judges in every State shall be bound thereby, any Thing in the Constitution or Laws of any state to the Contrary notwithstanding
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.
1515April 19, 2023April 19, 2023
Interpreting FederalismInterpreting Federalism
Need for InterpretationNeed for Interpretation National Supremacy clause and 10National Supremacy clause and 10thth Amendment Amendment
potentially contradictorypotentially contradictory Specific meaning of “delegated” and “reserved” Specific meaning of “delegated” and “reserved”
unclearunclear Supreme Court resolvesSupreme Court resolves
McCulloch v. Maryland (1819)McCulloch v. Maryland (1819) If both state and federal government exercise If both state and federal government exercise
legitimate power, which prevails?legitimate power, which prevails? Elastic clause + national supremacy clause = national Elastic clause + national supremacy clause = national
government winsgovernment wins
1616April 19, 2023April 19, 2023
Interpretations of the Commerce Interpretations of the Commerce ClauseClause
How much power was conferred by Congress’ How much power was conferred by Congress’ power to “regulate interstate commerce”?power to “regulate interstate commerce”?
Gibbons v. Ogden Gibbons v. Ogden (1824)(1824) ““commerce” broad; “interstate” narrowcommerce” broad; “interstate” narrow
1830s-1930s – commerce power interpreted 1830s-1930s – commerce power interpreted narrowly to limit Congressional powernarrowly to limit Congressional power
Jones v. NLRB Jones v. NLRB (1937)(1937) Virtually all commerce is “interstate”Virtually all commerce is “interstate” Greatly expanded Congressional powerGreatly expanded Congressional power
1717April 19, 2023April 19, 2023
The Politics of FederalismThe Politics of Federalism
Dual federalismDual federalism Dominant until 1930sDominant until 1930s States and national government had distinct, separate realms States and national government had distinct, separate realms
(depending on functions)(depending on functions)
Cooperative federalismCooperative federalism States and national government cooperateStates and national government cooperate Often, national government funds, while states implementOften, national government funds, while states implement “layer cake” v. “marble cake”
Regulatory federalismRegulatory federalism National government sets conditions for funding and thus National government sets conditions for funding and thus
regulates state actionsregulates state actions Unpopular with statesUnpopular with states
““New” federalism, devolution, states’ rightsNew” federalism, devolution, states’ rights
1818April 19, 2023April 19, 2023
Funding FederalismFunding Federalism
Categorical and Project GrantsCategorical and Project Grants Money appropriated for specific purposesMoney appropriated for specific purposes Local governments and organizations write grant Local governments and organizations write grant
proposalsproposals States often circumventedStates often circumvented
Block grantsBlock grants Broad purposes, e.g. economic developmentBroad purposes, e.g. economic development Only about 10% of federal fundingOnly about 10% of federal funding
Revenue SharingRevenue Sharing States get proportional “share” of taxes collected by States get proportional “share” of taxes collected by
federal government to spend on any purposefederal government to spend on any purpose