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Introduction to the Study of State Politics Federalism: State Politics within a Federal System. Reading: DMS (Ch.1-2) James Madison, Federalist Papers #10 & #45 Nathan, “In latest cycle, liberals leaning toward states’ rights” (Stateline.org)

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introduction to the study of state politics federalism state politics within a federal system
Introduction to the Study of State Politics

Federalism: State Politics within a Federal System

  • Reading: DMS (Ch.1-2)
  • James Madison, Federalist Papers #10 & #45
  • Nathan, “In latest cycle, liberals leaning toward states’ rights” (Stateline.org)
  • Tubbesing, “American Federalism: What a Ride.” (NCSL.org)
i introduction to the study of state and local government
I. Introduction to the Study of State and Local Government
  • Important themes of this course:
    • State/Local government matters
    • Diversity in state/local institutions/policies
    • Using the Comparative Method of analysis to understand this diversity
    • Using the Comparative Method for prescriptive purposes –
      • Which features of state institutions best serve to enhance democracy?
why should anyone care about state government
Why should anyone care about state government?
  • State and local governments shape the social and economic lives of their respective citizens.
    • More so than the federal government(?)
the role of subnational governments in policy outcomes
The Role of Subnational Governments in Policy Outcomes
  • Education
    • Spending
  • Criminal Justice
    • Courts
    • Incarceration
  • Welfare
    • TANF
    • Food Stamps
    • Unemployment Insurance
the role of subnational governments in policy outcomes5
The Role of Subnational Governments in Policy Outcomes
  • Health Care
    • Medicaid
  • Morality Policies
    • Abortion
    • Gay Marriage
    • Alcohol
    • Recreational drugs
the role of subnational governments in policy outcomes6
The Role of Subnational Governments in Policy Outcomes
  • Taxing and Spending
  • Economic policy
  • Environmental policy
name recognition quiz
Name Recognition Quiz
  • Vice President of the U.S.
  • Chief Justice of the U.S. Supreme Ct.
  • Speaker of the House
  • Senate Majority Leader
  • Your Representative (House)
  • Senator (name 1)
name recognition quiz11
Name Recognition Quiz
  • Lt. Governor of KY
  • Chief Justice of the KY St. Supreme Ct.
  • Speaker of the KY House
  • KY Senate President
  • Your Representative (State House)
  • State Senator (name 1)
name recognition quiz12
Name Recognition Quiz
  • Lt. Governor of KY
    • Daniel Mongiardo
  • Chief Justice of the KY St. Supreme Ct.
    • John Minton, Jr.
  • Speaker of the KY House
    • Greg Stumbo
  • KY Senate President
    • David Williams
  • Your Representative (State House)
  • State Senator (name 1)
fayette county state legislative delegation
Fayette County State Legislative Delegation
  • FAYETTE
  • Rep. Sannie Overly(D)72
  • Rep. Jesse Crenshaw(D)77
  • Rep. Bob Damron(D)39
  • Rep. Bill Farmer(R)88
  • Rep. Kelly Flood(D)75
  • Rep. Charlie Hoffman(D)62
  • Rep. Stan Lee(R)45
  • Rep. Ruth Ann Palumbo(D)76
  • Rep. Carl Rollins(D)56
  • Rep. Susan Westrom(D)79
  • Sen. Tom Buford(R)22
  • Sen. Julian Carroll(D)7
  • Sen. Alice Forgy Kerr(R)12
  • Sen. Kathy Stein(D)13
state governments and policy variation
State Governments and Policy Variation
  • Not only do states plan an important role in public policymaking…
  • There is often tremendous variation in policy outcomes across states
laboratories of democracy
“Laboratories of democracy”
  • Federalism allows policy creativity and policy innovation and provide an avenue for policy experimentation.
the comparative method of analysis
The Comparative Method of Analysis
  • The comparative method is a systematic approach that can be used to analyze variance among similar units.
  • All states have fundamentally similar frameworks of governance, but the comparative method is a useful analytic tool for examining why differences across states and localities exist.
the comparative method in practice what explains variation in state budgetary woes
The Comparative Method in Practice: What Explains Variation in State Budgetary Woes?
  • http://www.cbpp.org/9-8-08sfp.htm
types of governmental systems
Types of Governmental Systems
  • Unitary, Confederate, and Federal Systems 
      • Different ways of organizing government responsibilities
unitary systems
Unitary Systems

Central

Government

Regional

Government

Regional

Government

Regional

Government

Local

Governments

Local

Governments

Local

Governments

confederate systems
Confederate Systems

Central

Government

Regional

Government

Regional

Government

Regional

Government

Local

Governments

Local

Governments

Local

Governments

the u s federal system
The U.S. Federal System

Federal

Government

State

Government

State

Government

State

Government

Local

Governments

Local

Governments

Local

Governments

the constitutional basis for federalism
The Constitutional Basis for Federalism
  • Constitutional Convention
      • Problems with Articles of Confederation
      • Madison and the management of factions
      • Compromises – “State-centered” vs. “Nation-centered” federalism
the constitutional basis for federalism24
The Constitutional Basis for Federalism

Federal power:

  • “Exclusive Powers” = specific powers (e.g. Military affairs and defense, economic matters, taxing powers, governmental organization)
the constitutional basis for federalism25
The Constitutional Basis for Federalism

State power:

  • “Reserved Powers” = 10th Amendment

“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.”

the growth of national power
The Growth of National Power
  • The U.S. Constitution would seem to allow a relatively small role for the federal government
  • How has the federal government increased its power over time?
    • “Loopholes, bribes, and accomplices” 
using the constitution to expand federal power
Using the Constitution to Expand Federal Power

“Necessary and proper” clause:

  • Congress authorized to enact all laws “necessary and proper” to carry out its responsibilities
  • Leads to theory of “implied powers”
john marshall mcculloch v maryland 1819
John Marshall(McCulloch v. Maryland, 1819)
  • The Constitution grants to Congress implied powers for implementing the Constitution\'s enumerated powers, in order to create a functional national government.
  • State action may not impede valid constitutional exercises of power by the Federal government.
using the constitution to expand federal power30
Using the Constitution to Expand Federal Power
  • National supremacy clause – national laws and Constitution are supreme laws of the land (Article VI)
  • Commerce clause – gives Congress power to “regulate commerce with foreign nations and among several states and with Indian tribes”
the commerce clause applied
The Commerce Clause Applied
  • Heart of Atlanta Motel v. U.S. (1964)
  • Challenge to Title II of Civil Rights Act of 1964
    • Prohibited racial discrimination/segregation in areas of public accommodation (private businesses)
using the constitution to expand federal power32
Using the Constitution to Expand Federal Power
  • General welfare clause – “Congress shall have power to…provide for the….general welfare of the United States.”
    • Constitutional basis for many national “social welfare” programs
using the constitution to expand federal power33
Using the Constitution to Expand Federal Power
  • 14th Amendment – Gov’t cannot deny “due process of the law” and “equal protection of the laws.”
  • 16th Amendment – National income tax
madison in federalist 45
Madison in Federalist #45
  • “The powers delegated by the proposed Constitution to the federal government are few and defined. Those which are to remain in the State governments are numerous and indefinite. The former will be exercised principally on external objects, as war, peace, negotiation, and foreign commerce; with which last the power of taxation will, for the most part, be connected. The powers reserved to the several States will extend to all the objects which, in the ordinary course of affairs, concern the lives, liberties, and properties of the people, and the internal order, improvement, and prosperity of the State.”
models of federalism36
Models of Federalism
  • Dual Federalism (1787–1932) 
    • Responsibilities of national and state governments are separate and distinct
    • Federal gov’t: Exclusive powers
    • State gov’t: Full authority over reserved powers
    • Low levels of federal aid
models of federalism38
Models of Federalism
  • Cooperative Federalism (1933-1980) 
    • Stresses the linkages and joint arrangements among three levels of gov’t
    • Sharing of responsibilities and financing by all levels of gov’t
    • Federal gov’t: Expansion of federal power in taxation, commerce, and the economy
    • State gov’t: Participation in intergovernmental programs
    • Higher levels of federal aid
percentage of government spending by level of government 1925 2010
Percentage of Government Spending by Level of Government1925-2010

Source: www.usgovernmentspending.com

grants in aid
Grants-in-Aid
  • Definition: an intergovernmental transfer of funds, subject to conditions
grants in aid43
Grants-in-Aid
  • Definition: an intergovernmental transfer of funds, subject to conditions
  • Purpose: To advance federal policy priorities
grants in aid44
Grants-in-Aid
  • Definition: an intergovernmental transfer of funds, subject to conditions
  • Purpose: To advance federal policy priorities
  • Grants vary in amount of discretion given recipient
grants in aid45
Grants-in-Aid
  • Definition: an intergovernmental transfer of funds, subject to conditions
  • Purpose: To advance federal policy priorities
  • Grants vary in amount of discretion given recipient
  • Grants vary in criteria for awarding
types of grants in aid
Types of Grants-in-Aid
  • Categorical grants – used for a narrowly defined purpose
  • Block grants – used for a broad purpose
  • Revenue sharing – “no-strings” grants that can be used for ANY purpose
an example afdc
An Example: AFDC
  • Aid to Families with Dependent Children
    • 1935 Social Security Act
    • Cash assistance to poor children and their families
    • States could set their own benefit levels
    • Federal government set specific eligibility criteria (entitlement)
    • Federal money awarded based on a matching basis (which varied by formula)
grants in aid and federal power
Grants-in-Aid and Federal Power
  • Federal requirements for how money is spent
  • Crossover Sanctions (e.g. highway funding)
  • Cross-Cutting Req’s (e.g. anti-discrimination, environmental impact)
the redistributive impact of federal spending across the states return on federal tax dollar 2005
The Redistributive Impact of Federal Spending across the States:Return on Federal Tax Dollar - 2005

KY

Source: http://www.nemw.org/taxburd.htm

other mechanisms for influencing subnational substate governments
Other Mechanisms for Influencing Subnational/Substate Governments
  • Mandates – requirement that a state/local government undertake a specific activity or provide a particular service
other mechanisms for influencing subnational substate governments51
Other Mechanisms for Influencing Subnational/Substate Governments
  • Mandates – requirement that a state/local government undertake a specific activity or provide a particular service

Americans with Disabilities Act (1990)

National Voter Registration Act (1993)

Real ID Law (2005)

new federalism
New Federalism
  • New Federalism 1980-Present
    • Loosening of federal controls on how federal aid is spent (GRS and Block Grants)
    • Reduction of federal aid and elimination of some grant programs
    • Executive attempts to turn back federal programmatic responsibilities to the states
devolution
Devolution
  • The “Devolution” Revolution
    • Delegation of power and programs from federal to state and local governments
    • Biggest impact in social welfare
    • Devolution and G.W. Bush?
      • No Child Left Behind (2001)
an example afdc tanf
An Example: AFDC/TANF
  • Temporary Assistance for Needy Families (TANF)
    • Replaced AFDC in 1996
    • Block grant – same $$$ each year
    • Federal eligibility guidelines less strict
cutting back on unfunded mandates
Cutting Back on Unfunded Mandates
  • Unfunded Mandate Reform Act of 1995
    • Applies if cost to state/local gov’t is >$50 million
    • Must include cost estimate and federal $$$
    • Critics claim that law is ineffective
state constitutions
State Constitutions
  • What is a constitution?
    • A written document that specifically lists government functions and citizens’ rights.
    • Supreme laws with which all other laws must be consistent.
    • Fundamental law
different types of law
Different Types of Law
  • Constitutional Law
  • Statutes – laws made by legislative bodies
  • Administrative – rules and regulations issued by officials in executive branch (when authorized to do so by legislative branch)
  • Court-made Law – the interpretations that courts make of other kinds of law
what do state constitutions look like
What Do State Constitutions Look Like?
  • They tend to be very long!!!!
what do state constitutions look like61
What Do State Constitutions Look Like?
  • They tend to be very long!!!!
    • U.S. Constitution: 8700 words
what do state constitutions look like62
What Do State Constitutions Look Like?
  • They tend to be very long!!!!
    • U.S. Constitution: 8,700 words
    • Average: 27,000 words
what do state constitutions look like63
What Do State Constitutions Look Like?
  • They tend to be very long!!!!
    • U.S. Constitution: 8,700 words
    • Average: 27,000 words
    • Shortest: 9,200 words (NH)
what do state constitutions look like64
What Do State Constitutions Look Like?
  • They tend to be very long!!!!
    • U.S. Constitution: 8,700 words
    • Average: 27,000 words
    • Shortest: 9,200 words (NH)
    • Longest: 340,136 words (AL)
    • Kentucky: 23,911 words
what do state constitutions look like65
What Do State Constitutions Look Like?
  • Why are state constitutions so long?
what do state constitutions look like66
What Do State Constitutions Look Like?
  • Why are state constitutions so long?
    • States have many issues to deal with
    • State constitutions are easier to amend
    • Interest group influence
      • “Super legislation”
      • Fundamental law vs. particularistic issues
what do state constitutions look like67
What Do State Constitutions Look Like?
  • SC – limits local government indebtedness but lists 17 pages of exceptions
what do state constitutions look like68
What Do State Constitutions Look Like?
  • SC – limits local government indebtedness but lists 17 pages of exceptions
  • OK – sets the flash point for kerosene at 115 degrees for the purposes of illumination
what do state constitutions look like69
What Do State Constitutions Look Like?
  • SC – limits local government indebtedness but lists 17 pages of exceptions
  • OK – sets the flash point for kerosene at 115 degrees for the purposes of illumination
  • FL – prohibits cruel and unusual confinement of pigs during pregnancy
the typical state constitution today
The Typical State Constitution Today
  • 1. Bill of Rights
    • Similarity to U.S. Bill of Rights – all protect citizens from deprivation of life, liberty and property w/o due process of law
the typical state constitution today72
The Typical State Constitution Today
  • 1. Bill of Rights
    • Similarity to U.S. Bill of Rights – all protect citizens from deprivation of life, liberty and property w/o due process of law
    • Over the years, many protections in U.S. Constitution were not immediately nationalized to apply to states (so state BOR’s very important in earlier years)
the typical state constitution today73
The Typical State Constitution Today
  • 1. Bill of Rights
    • Similarity to U.S. Bill of Rights – all protect citizens from deprivation of life, liberty and property w/o due process of law
    • Over the years, many protections in U.S. Constitution were not immediately nationalized to apply to states (so state BOR’s very important in earlier years)
    • State BOR’s may go beyond U.S. guarantees
the typical state constitution today74
The Typical State Constitution Today
  • 1. Bill of Rights
    • 17 states have state ERA’s
    • 10 states guarantee right of privacy
    • 13 states give constitutional rights to crime victims
other sections
Other Sections
  • Powers of the state
  • Suffrage and Elections
  • The Legislative/Executive/Judicial Branch
  • Finance
  • Local Government
  • Public education
  • Civil Service
  • Intergovernmental Relations
constitutional rewriting
Constitutional Rewriting
  • >200 conventions, 95 rewritings (LA 11)
  • Waves of activity
    • Post Revolutionary War – 10
    • Before and after Civil War – 52
    • 1960s-1980s - 11
the purported advantages of federalism
The (Purported) Advantages of Federalism
  • Flexibility/Diversity among state laws and institutions
  • Encourages innovation
  • Helps manage social and political conflict
  • Facilitates achievement of (some) national goals
  • Maximizes participation in government
  • Helps protect individual freedom (from national movements to restrict rights) (Federalist #10)
the purported disadvantages of federalism
The (Purported) Disadvantages of Federalism
  • Complexity and Confusion
  • May actually intensify conflict in some cases
  • Duplicates efforts and reduces accountability
  • Can hinder achievement of national goals
  • Creates inequality in services and policies
  • May lead to interstate competition and a “race to the bottom”
  • May actually facilitate restriction of civil rights and liberties
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