Study Notes on Judiciary and Federalism in the American State

Unit Four: State Institutions

Overview of State Institutions

In this unit, we delve into analysis of state institutions, focusing primarily on two areas: the judiciary, particularly the Supreme Court, and the concept of federalism. This builds on our examinations of Congress and the presidency in previous units, as we unpack the institutional organization of the American state.

Overview of the Judiciary

The judiciary plays a crucial role in the American government system. Notably, Article III of the Constitution outlines the Supreme Court, and it is distinguished as the shortest and most ambiguous of the three articles (Articles I, II, and III).

Historical Context

At the Constitutional Convention in Philadelphia, there was significant debate regarding the establishment of a Supreme Court. Some delegates feared that the existence of a Supreme Court might undermine democracy since justices are not elected and serve for life. Conversely, others argued that a Supreme Court is essential to preserving democratic principles.

Structure of the Supreme Court and Federal Courts

The Supreme Court comprises nine justices. Key points regarding the justices include:

  • Nomination: Justices are nominated by the President of the United States.

  • Confirmation: They must be confirmed by the Senate.

  • Tenure: Justices serve for life, contingent on good behavior.

Federal Court System

The federal court system consists of multiple tiers:

  1. Supreme Court: The apex court; its rulings are final and no appeals are made beyond it.

  2. Federal Court of Appeals: There are 13 federal appellate courts, grouped into districts:

    • Ninth District: Covers the West Coast, including Alaska and Hawaii.

    • Eleventh District: Includes Florida.

    • First District: Encompasses regions like Maine and Boston.

  3. Federal District Courts: There are 94 district courts across the United States, which have original jurisdiction, meaning they can hear cases for the first time.

Case Processing

  • Right to be Heard: Individuals have the right to have their cases heard in federal district courts. If the ruling is unfavorable, they can appeal to a federal court of appeals. However, appealing to the Supreme Court is not guaranteed; the court selects which cases it chooses to hear, typically only a few dozen from thousands of appeals.

State Court System

Each state maintains its own judicial structure, which can vary significantly but typically includes:

  1. Local Trial Courts: Handle cases such as traffic and family disputes (original jurisdiction).

  2. State Appeals Court: Individuals may appeal decisions here but do not have a guaranteed right to a hearing.

  3. State Supreme Court: Often viewed as the highest court in the state. Individuals have the right to appeal decisions to this court, though hearings are not guaranteed.

Final Appeals

After exhausting state options, one can appeal to:

  • The U.S. Supreme Court

  • U.S. Federal Court of Appeals (if it involves federal issues)

Additional Courts

Other specialized courts include:

  • Court of Military Appeals: Focused on military cases.

  • Court of Claims: Addresses claims between states (non-trade related).

  • Court of International Trade: Deals with international trade issues.

Judicial Review

One pivotal power held by the Supreme Court stems from judicial review, established in the landmark case Marbury v. Madison (1803). Judicial review grants the Supreme Court the authority to declare acts of Congress and presidential actions unconstitutional, essentially determining the interpretation of the Constitution.

Constitutional Provisions Regarding the Judiciary

Article III

  • Judicial Power: Section 1 states that the judicial power of the United States resides in one Supreme Court and in inferior courts that Congress may establish.

  • Tenure and Compensation: Judges will serve during good behavior and will have their salary set by Congress, which cannot be diminished while in office.

Powers of the Court

  • The Supreme Court's jurisdiction extends to:

    • Cases arising under the Constitution and federal law.

    • Cases in which the U.S. is a party or that involve diplomatic representatives.

    • Cases between states or concerning federal questions.

  • Original jurisdiction is limited; most cases reach the Supreme Court through appellate jurisdiction from lower courts.

Separation of Powers and Checks and Balances

The U.S. Constitution establishes a separation of powers among the three branches of government: legislative, executive, and judicial. This ensures that each branch operates independently and can check the others to prevent any one from gaining excessive power.

Legislative Branch (Congress)

Key powers include:

  • Writing laws

  • Confirming presidential appointments

  • Ratifying treaties

  • Granting funding and declaring war

    • The U.S. has declared war only five times since its founding: War of 1812, Mexican-American War, Spanish-American War, World War I, and World War II.

Executive Branch (President)

The President's powers include:

  • Proposing laws and enforcing laws

  • Commanding the armed forces (not declaring war)

  • Conducting foreign policy and negotiating treaties

Judicial Branch (Supreme Court)

The Supreme Court interprets the Constitution and federal laws, reviewing decisions from lower courts. It holds significant power through the system of judicial review, enabling it to overturn legislation as unconstitutional.

Checks and Balances

Each branch can check the powers of the other:

  • Congress vs. Supreme Court: Congress can propose amendments to override court decisions, impeach justices, or alter the structure of the court.

  • Congress vs. the President: Congress can reject appointments, treaties, or funding and can impeach the president.

  • President vs. Congress: The President may veto bills and adjourn Congress under certain conditions.

  • President vs. Supreme Court: The President appoints justices and is responsible for enforcing court rulings.

Federalism in the United States

Federalism divides governmental powers between the national and state governments, as outlined in the 10th Amendment. National powers include:

  • Declaring war

  • Regulating commerce

  • Coining money

State powers include:

  • Establishing local governments

  • Conducting elections

  • Regulating intrastate commerce

Concurrent Powers

Shared powers between state and national governments include:

  • Borrowing money

  • Establishing judicial systems

Vertical Power Dynamics

The power hierarchy in federalism is structured as follows, from highest to lowest authority:

  1. Federal Government: Supreme authority that can enact laws affecting states.

  2. State Governments: Hold powers over local governance and have certain reserved powers.

  3. Local Governments: Operate under authority granted by state governments.