Post on 26-Dec-2015
Federalism &the Separation of Powers
Dr Simon Boucher ~ bouches@tcd.ie
Government and Politics of the USALecture 3:
A meeting has been arranged for all
SOCRATES, ERASMUS AND VISITING STUDENTS
to receive signatures on their course choice forms from the departments of Political Science, Economics, Sociology and
Business Studies, on
THURSDAY, 18th of OCTOBER, at 6 p.m. in the ED BURKE.
The purpose of this is to save you trailing from one department to another in search of signatures.
Students taking courses in other departments should get the signatures from those departments BEFORE this meeting.
Departmental announcement…
Required reading…• McKay chap 4• Singh chap 4
Additional resources…• Paul E Peterson, The Price of Federalism, (ARTS 353
N52) • James Madison, Federalist Paper, no. 51, (PB-222-362)
Plus see the course website… http://uspoliticstcd.pbwiki.com/FrontPage
Readings for today
Agenda
• What is Federalism• Federalism in the US
– What level has responsibility for what?– Is federalism dying?– State varieties – Fiscal federalism– Institutional federalism
• Introduction to concept of “the separation of powers”
• Meet the candidates
3 varieties of governmental system
Unitary System
Federalism
Confederation
Sovereignty uniquely vested in central authorities
e.g. France, Japan
Sovereignty vested in state / regionalgovt; central govt requires their agreement before taking action
e.g. early USA, NATO, UN
Dual sovereignty- state and central levelsshare power; each level supreme in specific areas
e.g. modern USA, Germany
• Involves:– Sharing of power between central and regional levels– Guarantees constitutional integrity to state
governments
• Key issue: how to divide power between levels– Classic (or “dual”) federalism model– However constitutions rarely specific on division– Often left to judicial interpretation of shifting political /
economic requirements
Core concept: dual sovereignty
The fundamental challenge of federalism
Secure efficient central government and secure national unity
Allow free scope for the diversity, and free play to
members of the federation
Maintaining equilibrium betweencentrifugal vs centripetal force
• States only granted 4 basic rights in Constitution– Equal representation in the Senate– The right to jurisdictional integrity– The right to republican government– Protection against invasion and domestic violence
• In reality, have also retained wide range of economic, social, political powers
• “Localism” is strong element of US culture• Despite apparent enumeration of powers, Constitution
leaves much undecided / vague• Article 1, section 8: Vague “Commerce Clause” basis for
much federal action
Federalism in the US Constitution
1 Federal Government
50 State Governments
87,000 Local Governments
• Why Federalism in US?– Unitary system discredited by Britain and
unacceptable to independent-minded states– Confederal experiment unsatisfactory economically
• Basic powers given to Federal government– Authority to raise armies– To levy taxes– To regulate inter-state commerce
Origins of US Federalism
For most citizens, federal government remained distant
BUT
Early 19th century: Debate focused on regulatory powers; to what extent federal law supreme?
Mid 19th century: Role of federal govt in protecting citizens rights (slavery issue)
1870-1930s: SC resisted federal attempts to regulate industrial / commercial life- “conflictual federalism”
1930s: Great depression. Federal govt legislates in variety of new areas; SC finally agrees
1930s-50s: “Collaborative” / “cooperative” federalism
1960s: Civil rights issue causes intense federal debate
The evolution of federalist debate
From the beginning, debate has raged about the appropriate extent of US federal power and responsibility
Factors influencing 20th century federalism
• Confused, conflictual and fragmented debate
• Many interacting contributory factors “nationalised” US life in 20th century– Evolution of national political parties– Spread of interstate business– Increase of national standards and regulations– Growth of national news dissemination
• However three particularly important factors– Economic depression– War– Political ideology
Fiscal federalism
• Fiscal activity a mirror of federalism• Federal grant aid to state / local govt:
– Increased federal spending– Changed nature of intergovernmental relations
• 1960s-70s a period of rapidly rising federal expenditure– Solidly Democratic House / Senate throughout– LBJ’s “Great Society”– Nixon’s Block Grants
• Late 1970s turning point– Carter era: attempts at fiscal rectitude– Federal programmes: proof in the pudding– Shift in public / political opinion
• Demand for national standards another growing aspect of federal power since 1970s
• Typically Congress approves national standards based on presidential initiatives
• Different types of standard– Federal pre-emption– Cross-over sanctions
• National standards used by both parties for different political ends
National standards
• States enjoyed somewhat of a resurgence since 1980s– Conservatives angered by increase in federal spending and
bypassing of state-level directly to local level– Little improvement apparent
• 1980: revival of federalism a key Reagan policy• Areas of increasing state influence
– Penal and criminal procedure issues– Abortion– Employment practices– Welfare
• “New Federalism” strategy ultimately abandoned, but historical trend definitively reversed
1980s – federalism revived
• Bush Senior – lacked Reagan’s personal commitment to federalism– But trend of Reagan years continued
• Clinton– 1991 election campaign suggested return to fiscal
federalism of 60s & 70s– Economic growth reduced need for federal aid– 1994 Congressional elections reinforced earlier trend– Clinton accepted situation, e.g. 1996 Welfare Reform
Bush Senior and Clinton
Period of “Devolutionary Federalism”
• For much of US history, SC had been key interpreter of US federalism
• From 1930s SC had appeared to abdicate its role in arbitrating between state and federal law
• 1990s: 2 major decisions reversed this trend• SC now emphasises that 10th Amendment has
validity and application
Supreme Court
• Came to power intent on reducing Federal role• Reduced federal taxes in first year
BUT….
• Bush increased federal role in some policy areas – e.g. education
• Attempted to undermine state power in certain social policy areas
• Following 9/11 massive increase in federal defence and security spending & creation of new government department
George W. Bush and federalism
Dubya: a mixed federal legacy
• “Cooperative federalism” of 1930s to 70s now also dead
• Public highly sceptical of federal government
• Emerging consensus that states should reclaim certain tasks; neither party advocates increasing federal power
• SC has revived 10th amendment restricting federal role somewhat
• State laws pre-eminent in many areas of economic and social life
• Federal level remains widely acknowledged as appropriate for dealing with
– Economic regulation– Periods of serious economic
downturn– National emergency
• Federal role continues to grow in certain areas
Federalism circa 2007
“Classical federalism” now dead, but…
Federalism debate remains fundamental, unresolved and perpetual
• A model of governance for democratic states• The state apparatus is divided into “branches”-
typically– The Executive– The Legislature– The Judiciary
• Each branch has separate and independent powers and areas of responsibility
• No branch therefore overly powerful• Branches maintain oversight of each other
through “checks and balances”
What is the “separation of powers”?
Separation of power in US Federal Govt
FEDERAL GOVERNMENT
REPLICATED AT THE STATE LEVEL
• Protects democracy
• Forestalls tyranny
• Slows down the process of governing
• tends to marginalize the legislature
Advantages and disadvantages
• Two simultaneous “Primary” campaigns are underway to select the Republican and Democrat nominees
• Given no incumbent, campaigns have been underway for over a year– Raising finance– Seeking endorsements– Running TV / radio / internet advertising– Recruiting volunteers– Building campaign infrastructure– Debates since summer
• Campaigns reaching crescendo between now and January
Election 2008: where we stand
Campaign activity particularly frenetic in early states…
• Iowa
• New Hampshire
• South Carolina
• Florida
Election 2008: the primary calendar
• Hilary Clinton• Barak Obama• John Edwards• Bill Richardson• Al Gore (??)
• Rudy Giuliani• Mitt Romney• Fred Thompson• John McCain
The two fields
The Democrats The Republicans
Hillary Clinton
• Junior Senator for New York• Former first lady, lawyer• Managed doomed health care
policy in 1993• Considered ultra competent,
pragmatic, hawkish• Nomination becoming
“inevitable”?• Polls: 48.2% nationally, 69.3% in-
trade
Barak Obama
• Junior Senator for Illinois• Former state senator, but
comparatively inexperienced• Considered to have huge “raw”
talent- charisma• Anti-war, rather liberal agenda,
“politics of hope”• Great fund raising, but campaign
hasn’t caught fire• 2nd place nationwide- 22.6%, in-
trade 11%
John Edwards
• Former senator for NC, trial lawyer, VP candidate in 2004
• Position as “rising star” tarnished since 2004, replaced by Obama
• Most populist, left wing Dem candidate
• Attempting “slingshot” strategy• Stagnant in polls- 11.6%
nationally, 4% in-trade
Bill Richardson
• Governor of New Mexico• Glittering resume, but lacklustre
campaign• Centrist policy positions• Best hope a VP nomination?• Would be first Latino on the
ticket• Polls: 10.3% nationally, 0.7% in-
trade
Al Gore
• Peerless resume• Found an authentic voice, but
lost stomach for the fight? (Why would he bother?)
• Too late to build campaign machinery?
• Could become “king maker”?• Polls: about 10% nationally,
could rise if entered race
Rudy Giulliani
• Former Mayor of NYC, became “America’s Mayor” on 9/11
• Former state prosecutor• Famously social liberal views –
hardcore rightwing remain very uncomfortable
• Benefiting from lack of credible alternatives
• Polls not entirely convincing- 30.2% nationwide, 39% in-trade, but patchy in early primary states
Mitt Romney
• Former Governor of Massachusetts
• Religion is an issue• Highly polished… Almost too
polished• Huge personal fortune will keep
him in race• Criticised for flip-flops• Like Edwards, looking to a sling-
shot strategy• Polls: 4th place nationally (11.2%),
but better in early states and in-trade (25%)
John McCain
• Senator for Arizona• Genuine war hero• “Straight talking” approach makes
GOP uncomfortable• Yesterday’s man? • Iraq his Achilles Heel• Campaign seems in disarray• Polls: 13% nationally, 5.6% in-trade
Fred Thompson
• Former Senator for Tennessee• Profile appeared Reagan-esque• Entered race as candidates appeared
unsatisfactory• But so far campaign a
disappointment• Has he the desire? Is he good
enough?• Polls: 19.5% nationally, 15.5% in-
trade