federalism & the separation of powers dr simon boucher ~ [email protected] government and politics...

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Federalism & the Separation of Powers Dr Simon Boucher ~ [email protected] Government and Politics of the USA Lecture 3:

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Federalism &the Separation of Powers

Dr Simon Boucher ~ [email protected]

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

Separation of Powers

• 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”?

• Protects democracy

• Forestalls tyranny

• Slows down the process of governing

• tends to marginalize the legislature

Advantages and disadvantages

Election 2008:

The Primary Candidates

• 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

Required reading…• McKay chap 2• Singh chap 2

More likely to be announced for Bill McSweeney’s lecture – PLEASE PREPARE FOR THIS SESSION!

Plus see the course website… http://uspoliticstcd.pbwiki.com/FrontPage

Readings for next week