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Government Structure
and Federalism
Frank Brooks
May 24, 2017
Introduction to American Politics
1
The Constitution as a Contract
Lays out key elements of government
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purposes
structure
powers
limits
Skeletal framework, not detailed blueprint
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Constitution is vague, “inspired ambiguity”
provides flexibility and stability
channels conflict into “political” channels
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2
Powers: Formal and Evolved
Formal, constitutional powers
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“To make
Congress (Article
1)all Laws which shall be necessary and proper
for carrying into Execution the foregoing Powers, and all
President (Article
2)Powers vested by this Constitution in the
other
Government
the United States, or in any Department
Supreme Court
(Articleof 3)
or Officer thereof.” (Article I, Section 8)
Informal, evolved powers
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Congress – “necessary and proper clause” (elastic)
President – “inherent” (implied) powers
Many rooted in “commander in chief” authority
Capacity to lead nation enhanced by technology
Development of national constituencies and interests
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Supreme Court – judicial review
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Limits on National Government
Constitutional Limits
Amendment Process
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channels policy change into political channels
Separation of Powers; Checks and Balances
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Decentralize power by separating it
Encourage competition between power centers
Federalism
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Acknowledge and define role of state and local
governments as counterweight
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Amending the Constitution
Proposal
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By 2/3 vote of both houses of Congress (A)
By 2/3 of state legislatures calling for a convention (B)
Ratification
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By ¾ of state legislatures (C)
By ¾ of state ratifying conventions (D)
History of amendment
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Only 27 (17 since Bill of Rights)
AC route for all but one
Difficulty of amendment channels policy change to Congress,
executive branch, even courts
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5
Separation of Powers
Three branches; four significant parts
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Horizontal separation (among the branches)
Congress (consider both chambers)
House
Senate
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Presidency [Executive Branch]
Courts
Three kinds of separation into those four parts
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Function
Constituency
Term
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Separation by Function
House
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Legislative
Spending
Senate
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Legislative
Executive: approve nominations, ratify treaties
President
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Executive
Foreign relations
Courts
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Judicial
Interpret Constitution
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Separation by Constituency
House
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Chosen by voters in Congressional districts
Narrowest representation, most accountability
Redistricting and “gerrymandering”
Illinois’ Fourth Congressional District
Senate
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Chosen by states (legislatures, then voters)
More heterogeneous constituency than House
President
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“National” constituency (distorted by electoral college)
Court
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Federal judges chosen by President and Senate
“represent” the Constitution (defend it against threats)
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Separation by Term
Court
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“shall hold their Offices during good
Behaviour” (Article 3, Section 1)
“life” term
House
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2 years, no term limits
Senate
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6 years (staggered), no term limits
President
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4 years, 2 term limit (after 22nd Amendment)
Cannot gain control of all the government all at
the same time
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Checks and Balances
Consider FDR’s court-packing scheme
Separation of powers may slow down concentration of
power, but can’t stop it
“Ambition must be made to counteract ambition”
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Assume that office-holders need/want power
Give each part tools to interfere with other parts
Let competition among parts limit overall power, or at least
ensure that power used appropriately
Broad impact of checks and balances
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enforce separation
compel cooperation and compromise
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Federalism
Separation of power between levels of
government (vertical)
Historical context
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shift of power away from states
But, left them considerable authority
Complex subject (abstract to concrete)
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Structure of relationship between states & federal
How the Constitution describes terms of relationship
Interpretation of Constitutional language
Politics of relationship (especially money)
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Structure of Federalism
•
Unitary Government
• Confederal Government
• Federal Government
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13
Federalism in the Constitution
“National Supremacy” Clause (Article 6)
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Seems to favor national
Thisgovernment
Constitution, and the Laws of the United States
which shall be made in Pursuance thereof; and all
Anti-Federalists sought Treaties
clarification/dilution
made, or which shall be made, under the
Tenth Amendment
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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
National government has “delegated” powers
The powersE.g.
not delegated
to the
regulate
interstate commerce, raise army
United States by the Constitution,
Only
explicitly mentioned in Constitution?
nor prohibited
by it those
to the States,
are reserved to the States
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respectively,
or to the people.
States governments have “reserved” powers
Residual category (after powers prohibited to states)
Includes “police” powers, education
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Interpreting Federalism
Need for Interpretation
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National Supremacy clause and 10th Amendment
potentially contradictory
Specific meaning of “delegated” and “reserved”
unclear
Supreme Court resolves
McCulloch v. Maryland (1819)
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If both state and federal government exercise
legitimate power, which prevails?
Elastic clause + national supremacy clause = national
government wins
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Interpretations of the Commerce
Clause
How much power was conferred by Congress’
power to “regulate interstate commerce”?
Gibbons v. Ogden (1824)
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“commerce” broad; “interstate” narrow
1830s-1930s – commerce power interpreted
narrowly to limit Congressional power
Jones v. NLRB (1937)
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Virtually all commerce is “interstate”
Greatly expanded Congressional power
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The Politics of Federalism
Dual federalism
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Dominant until 1930s
States and national government had distinct, separate realms
(depending on functions)
Cooperative federalism
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States and national government cooperate
Often, national government funds, while states implement
“layer cake” v. “marble cake”
Regulatory federalism
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National government sets conditions for funding and thus
regulates state actions
Unpopular with states
“New” federalism, devolution, states’ rights
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Funding Federalism
Categorical and Project Grants
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Money appropriated for specific purposes
Local governments and organizations write grant
proposals
States often circumvented
Block grants
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Broad purposes, e.g. economic development
Only about 10% of federal funding
Revenue Sharing
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States get proportional “share” of taxes collected by
federal government to spend on any purpose
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