Study Notes on Federalism, Court Systems, and Criminal Justice Process
The Declaration of Independence
Federalism, Court Systems, and the Criminal Justice Process
Jurisdiction, Federalism, and Sovereignty
Federalism: A system of government characterized by the division of power between a central governing body (federal government) and constituent political units (states or provinces). This division aims to prevent the concentration of power and protect individual liberties by allowing different levels of government to address specific needs. The U.S. Constitution outlines this distribution, with powers either delegated to the federal government, reserved for the states, or shared concurrently.
Exclusive Powers: Powers that belong solely to one specified sovereign and cannot be exercised by the other. For instance, the federal government alone has the power to declare war, coin money, and regulate interstate commerce. States have exclusive powers over local government establishment, intrastate commerce, and public education.
Reference: The Tenth Amendment of the U.S. Constitution explicitly states that "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." This fundamental principle underscores the limits of federal power and the residual sovereignty of the states.
Shared Powers (Concurrent Powers): Powers held jointly by both federal and state governments. These include the power to tax, build roads, establish courts, and charter banks. Both levels of government can exercise these powers simultaneously, as long as state actions do not conflict with federal law, a concept often clarified by the Supremacy Clause.
Denied Powers: Powers explicitly forbidden to either the federal government, state governments, or both, to protect individual liberties and prevent abuse of power. For example, neither can grant titles of nobility, pass ex post facto laws, or bills of attainder. States are also denied the power to make treaties, coin money, or impair the obligation of contracts.
Enumerated Powers: Specific authorities expressly granted to the federal government, primarily to Congress, as listed in Article I, Section 8 of the U.S. Constitution. These include
Levying and collecting taxes
Borrowing money
Regulating commerce with foreign nations and among the several states
Establishing uniform laws on naturalization and bankruptcies
Coining money and regulating its value
Establishing post offices and post roads
Granting patents and copyrights
Declaring war
Raising and supporting armies and a navy
Providing for the calling forth of the militia
Exercising exclusive legislation over the District of Columbia
Implied Powers: Powers exercised by the federal government, particularly Congress, that are not explicitly defined in the Constitution but are considered "necessary and proper" to carry out its enumerated powers. These powers derive from the "Elastic Clause" (Necessary and Proper Clause, Article I, Section 8, Clause 18), which grants Congress the authority to make all laws "necessary and proper" for carrying into execution the foregoing powers.
Historical insight into federalism and the expansion of federal powers is vividly illustrated by the landmark McCulloch v. Maryland (1819) case. In this case, the state of Maryland attempted to tax the Second Bank of the United States, a federally chartered institution.
The Supreme Court, led by Chief Justice John Marshall, ruled that Congress had the implied power to create the bank under the Necessary and Proper Clause, as it was instrumental in carrying out enumerated powers such as collecting taxes and regulating commerce.
Furthermore, the Court established the principle of national supremacy, stating that states could not tax federal institutions because "the power to tax involves the power to destroy." This decision significantly strengthened the implied powers of the federal government and limited state sovereignty in areas where federal and state authority conflicted.
Clarification of Concepts
Limits of Federal Powers (Examples of Exclusive Federal Powers)
Print money and regulate its value (monetary policy)
Establish post offices and post roads, providing national communication infrastructure
Regulate interstate and international commerce, fostering a national economy
Conduct a census every ten years for proportional representation and data collection
Declare war and maintain armed forces for national defense
Create uniform laws on naturalization (citizenship) and bankruptcy
Formulate and conduct foreign policy, including making treaties and appointing ambassadors
Create laws necessary and proper to enforce the Constitution's provisions
Shared Powers (Concurrent Powers)
Establish and administer courts, maintaining judicial systems at both levels
Collect taxes (income, property, sales) to fund public services
Build and maintain highways and roads, facilitating transportation
Borrow money on credit to finance government operations
Charter banks and corporations, regulating business activities
Make and enforce laws, within their respective constitutional limits
Provide for the general welfare of their citizens through various programs
Denied Powers (Prohibitions on Government)
Violation of the Bill of Rights: Neither federal nor state governments can infringe upon the fundamental rights protected by the first ten amendments, such as freedom of speech, religion, or protection against unreasonable searches and seizures.
Use of federal funds without legislative approval: Congress must appropriate funds, ensuring accountability and adherence to the separation of powers.
Deny voting rights based on race, color, previous condition of servitude, or sex: The 15th and 19th Amendments explicitly prohibit such discrimination. The 24th Amendment prohibits poll taxes, and the 26th Amendment sets the voting age at 18.
Pass ex post facto laws: Laws that retroactively make an act illegal or increase punishment for a crime already committed.
Pass bills of attainder: Legislative acts that declare a person or group guilty of a crime and punish them without a trial.
Grant titles of nobility: To prevent the establishment of an aristocracy.
Federalism and Criminal Law
States generally have exclusive jurisdiction over most civil and criminal law matters, meaning they define crimes, establish penalties, and operate court systems for these offenses. While states have the authority to extend citizens' rights beyond federal guarantees (e.g., providing broader privacy protections), they cannot infringe upon or diminish any rights guaranteed by the U.S. Constitution or federal law.
The vast majority of criminal acts, such as assault, robbery, murder, and theft, are violations of state laws rather than federal laws. This reflects the principle that law enforcement closer to the people can better address local crime.
Separate Sovereigns (Dual Sovereignty): This doctrine is a significant exception to the Fifth Amendment's Double Jeopardy Clause, which generally prevents a person from being tried twice for the same crime by the same sovereign. Under the separate sovereigns doctrine, if an act violates both state and federal law, the defendant can be prosecuted by both the state and federal governments without violating double jeopardy. A classic example is a kidnapping that crosses state lines, violating both state kidnapping statutes and the federal Lindbergh Law (kidnapping across state lines). Other examples include drug crimes or bank robberies, which can involve both state and federal charges.
Law Enforcement in the United States
Over 18,000 distinct law enforcement agencies operate at multiple levels across the United States, reflecting the country's federalist structure. These agencies enforce a diverse range of laws and ordinances.
Local Agencies: Comprise the largest segment of law enforcement, including municipal police departments (e.g., LAPD, NYPD), county sheriff's offices, and town marshals. They are primarily responsible for enforcing state statutes and local ordinances within their specific jurisdictions, responding to emergencies, preventing crime, and maintaining public order. Most criminal investigations begin at this level.
State Agencies: Operate statewide and have broader mandates. These include:
State Police/Highway Patrol: Primarily enforce traffic laws, conduct criminal investigations (especially in rural areas), and support local agencies.
State Bureaus of Investigation (SBI): Often function similarly to the FBI but at the state level, handling major felony investigations.
Specialized State Agencies: Such as game wardens, alcohol beverage control (ABC) enforcement, and capitol police.
Federal Agencies: Created by Congress, these agencies have jurisdiction limited to federal laws and specific domains defined by their enabling legislation. Their authority extends across state lines. Key examples include:
Federal Bureau of Investigation (FBI): Investigates federal crimes, national security threats, and terrorism.
Drug Enforcement Administration (DEA): Combats drug trafficking and distribution.
U.S. Marshals Service: The oldest federal law enforcement agency, established in 1789, responsible for courtroom security, federal prisoner transport, fugitive apprehension, and protecting federal witnesses.
Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF): Enforces laws related to illegal firearms, explosives, arson, and alcohol/tobacco trafficking.
Customs and Border Protection (CBP) and Immigration and Customs Enforcement (ICE): Enforce immigration and customs laws.
Secret Service: Protects high-ranking government officials and investigates financial crimes.
Tribal Agencies: Law enforcement bodies operating on Native American reservations, exercising jurisdiction over tribal members and, in some cases, non-members within tribal lands, often in cooperation with federal and state agencies.
The Federal Courts
The U.S. Constitution, in Article III, vests the "judicial power of the United States" in one Supreme Court and in such inferior courts as Congress may from time to time ordain and establish.
Federal judges, including Supreme Court justices, hold their offices during "good behavior" (effectively for life) and their salaries cannot be diminished during their service, ensuring judicial independence from political and financial pressures.
U.S. District Courts: These are the trial courts of the federal system, possessing general jurisdiction for federal cases. There are 94 federal judicial districts, with at least one in each state, the District of Columbia, and U.S. territories. They hear both civil and criminal cases arising under federal law, the U.S. Constitution, or treaties, as well as certain cases involving diversity of citizenship (disputes between citizens of different states where the amount in controversy exceeds \$75,000 ).
Example data on U.S. District Courts from 2009-2013 showcases trends in criminal activity and prosecutions, notably highlighting common federal offenses like drug offenses, immigration violations, and white-collar crimes, and the volume of cases processed annually.
Appellate Courts
U.S. Courts of Appeals (Circuit Courts): These intermediate federal courts deal exclusively with appeals from the U.S. District Courts and from decisions of federal administrative agencies. They review legal arguments and judicial decisions made in the trial courts to ensure that the law was applied correctly and that due process was followed.
There are 13 federal circuit courts: 11 numbered circuits covering specific geographic regions, the D.C. Circuit, and the Federal Circuit (which handles specific types of specialized appeals, such as patent cases and claims against the U.S. government). Each circuit has multiple judges, and cases are typically heard by a panel of three judges.
The process for appeals can be restrictive and varies. Parties generally do not present new evidence; instead, they argue points of law based on the record from the trial court. Appeals must adhere to strict guidelines regarding timeliness and the specific legal issues that can be presented.
Supreme Court
The Supreme Court of the United States is the highest judicial body in the country, serving as the ultimate court of appeals for all cases tried in federal and state courts involving issues of federal law.
It has original jurisdiction (the authority to hear a case for the first time) in a very small number of specific cases, such as disputes between states or cases involving ambassadors.
Primarily, however, it serves as the final court of appeals, establishing binding precedents across all lower federal and state courts that must interpret and apply federal law and the Constitution. These decisions have far-reaching implications for American law and society.
Cases are administered through a rigorous process. The vast majority of cases reach the Supreme Court through a writ of certiorari, a formal request for the Court to review a lower court's decision. At least four of the nine justices must agree to hear a case (the "Rule of Four") for certiorari to be granted. The Court typically selects only about 80-100 cases out of thousands of petitions each year, focusing on cases that raise significant constitutional questions or resolve conflicts among lower federal courts.
The Criminal Justice Process:
The criminal justice process in the U.S. is a multi-stage system designed to investigate, prosecute, and punish criminal offenders, while protecting the rights of the accused.
Pretrial Proceedings: After an arrest, key steps include:
Complaint: A formal charge document filed with the court, detailing the alleged crime.
Initial Appearance: The accused is brought before a magistrate or judge, informed of charges, advised of rights, and bail may be set.
Preliminary Hearing/Grand Jury: To determine if there is probable cause to believe a crime was committed and the defendant committed it. A preliminary hearing is a mini-trial, while a grand jury (used for federal felonies and some state felonies) decides whether to issue an indictment (true bill).
Arraignment: The defendant is formally read the indictment or information and is asked to enter a plea (guilty, not guilty, nolo contendere). Plea bargaining often occurs at this stage.
District Courts (Trial Stage): If a plea of not guilty is entered, the case proceeds to trial. Major procedures include:
Jury Selection (Voir Dire): Potential jurors are questioned to identify bias and ensure impartiality.
Opening Statements: Both prosecution and defense present their theories of the case and outline the evidence they intend to present.
Presentation of Evidence: Witnesses are called, examined by one side (direct examination), and cross-examined by the other. Physical evidence is introduced. The burden of proof rests with the prosecution to prove guilt "beyond a reasonable doubt."
Closing Arguments: Attorneys summarize the evidence and argue for their client's position.
Jury Instructions: The judge instructs the jury on the applicable laws and standards of proof.
Deliberation and Verdict: The jury retires to deliberate in secrecy.
The requirement for a unanimous verdict is standard in federal criminal trials and many state courts, particularly for serious felonies. If the jury cannot reach a unanimous verdict, it results in a hung jury, and the prosecution may choose to retry the case.
Sentencing: If the jury reaches a guilty verdict or the defendant pleads guilty/no contest, the judge proceeds to sentencing.
Sentencing is based on various factors, including the severity of the crime, the defendant's criminal history, and any mitigating factors (circumstances that suggest a lesser sentence, like remorse or lack of prior record) or aggravating factors (circumstances that justify a harsher sentence, such as use of a weapon or particular cruelty). Sentencing guidelines (federal and state) often provide a framework for judges, though judges retain discretion within those guidelines. Punishments can include incarceration, fines, probation, community service, or a combination.
Posttrial Motions and Appeals
This stage involves several formal review processes and protections for defendants post-conviction, aimed at ensuring fairness and legality.
Posttrial Motions: The defense may file motions like a motion for a new trial (alleging errors during the trial), a motion for judgment of acquittal (arguing insufficient evidence to convict), or a motion to set aside the verdict.
Appeals: If a conviction stands, the defendant has the right to appeal to a higher court.
Appeals are made based on alleged errors of law or procedure occurring during the trial, such as improper admission of evidence, incorrect jury instructions, prosecutorial misconduct, or ineffective assistance of counsel.
They are not a new trial; the appellate court reviews the trial court record.
Appeals must adhere to strict guidelines regarding timeliness (deadlines for filing notices of appeal) and the specific legal issues that can be presented (appellate courts do not re-weigh facts or witness credibility but examine legal questions).
If the appeal is successful, the appellate court may reverse the conviction, remand the case for a new trial, or order other remedies.
Ethical Implications
The intricate balance of federalism theoretically ensures citizens' liberties through distributed sovereignty, allowing states to experiment with different policies and act as a safeguard against an overreaching federal government. However, the historical evolution of American jurisprudence demonstrates instances where this balance has shifted. The erosion of state rights is particularly evident in key judicial decisions, such as the expansive interpretation of the Commerce Clause by the Supreme Court, which has allowed Congress to regulate a wide array of activities traditionally considered local. The incorporation doctrine, which applies most of the Bill of Rights to the states via the Fourteenth Amendment, also illustrates federal power limiting state actions, aimed at guaranteeing uniform protection of fundamental rights across the nation. This ongoing tension between federal supremacy and states' rights remains a critical ethical and legal challenge in the U.S. system.
Conclusion
The American criminal justice system is undoubtedly complex, shaped by a dynamic interplay of federalism, sovereign powers, and the imperative for equitable legal representation across its multi-tiered court systems. This layered structure profoundly affects how laws are established, interpreted, and applied, and ultimately, how justice is pursued. Despite inherent challenges in practical application, the system's adversarial and accusatorial nature is designed to uphold constitutional protections for the accused, ensuring due process and the presumption of innocence. The constant negotiation between state and federal authority defines the boundaries of jurisdiction and accountability within this vital governmental function.