State and Local Politics
(Keep an eye on MS through this
course, write it down)
Instructor: Dr. Troy Gibson
I.
Why study State and Local Government?
A. Many, perhaps most, of the policy decisions directly
affecting U.S. citizens are made by state and local
government officials.
1. Welfare to work
2. Maintaining prisons (90% incarcerated in state or
local jails).
3. Education (90% funding from states)
B. Policy diversity (creativity, innovation, and
imagination)
C. State and local governments are older than the
national government.
1. Colonies
2. Articles of Confederation
II.
A.
Difficulties – hard to study and generalize about 50
truly distinct, highly diverse, government systems.
Cultural diversity (ethnic and religious contexts)
Link:
http://merlot.caliper.com/maptitude/census2000maps/map.asp?map=4
B.
C.
Socioeconomic diversity (economic characteristics)
Institutional diversity (political and election
systems)
http://www.progressiveviewpoints.com/2008/11/county-presidential-electoral-map.html
A.
B.
F.
Geographic diversity (distance and terrain)
Circumstantial diversity (different problems)
Multiplied by the diversity of 87,500 cities, counties,
villages, school districts, congressional districts,
zones, etc.
III. Basic Concepts:
A. Political Science: The study of who gets what, when,
MS highest at 85%; Vermont lowest at 42% (Gallup 2009;
http://wnd.com/index.php?fa=PAGE.view&pageId=89029
B. Government: Organization that legitimately uses force
to carry out its decisions like managing conflict,
allocating scarce resources, selecting between
competing preferences.
IV. Who Governs? The few or the many?
A. Elite Theory: All societies (even democracies) are
always dominated by a few, typically moneyedinterests (business class), who rule over the many.
Public policy reflects elite preferences. Natural?
B. Pluralism: Democracy can be achieved by the
competition of many different interest groups filled
by concerned citizens who compete for influence
and favor. Since each group eventually is satisfied
by gov’t, no one group dominates long-term. Public
policy reflects the desires of interest groups.
C. State governments: certain interests more likely to
dominate state and local gov’ts than national.
1.
2.
3.
D.
1.
2.
3.
4.
E.
Homogenous interests: Interests are more likely to represent
larger, perhaps majority, proportions of state and local
citizens (e.g., Casino lobby, evangelicals in MS).
Heterogeneous interests: In national government, interests
practically always represent tiny minorities and very diverse
groups.
Proliferation of interest activity at the state level has
accompanied (tremendous growth of state and local
government spending and activities). Which is the cause of
more groups, government size or group pressure?
Types of interest groups:
Ethnic/racial
Business
Professional associations (unions, trial lawyers)
Citizens groups (Christian Coalition)
Which groups dominate: Still, no particular group or interest
dominates state politics (despite minimal media exposure;
more voter ignorance at state level). But generally, those
groups with more economic resources, larger numbers win
F.
Voter apathy, bigger problem for state and local politics.
Less exposure, more ignorance, less interest. Only about
2-3% of population attend town meetings concerning local
policy. This is so despite the fact that voters’ may have
more at stake in state and local politics.
Most people choose to leave these decisions and influences to
others (usually groups).
V.
Challenges for State and Local gov’t (a wide-ranging array
of innovative entrepreneurial public-private sector
partnershps aimed at solving problems of a more immediate
type, like gang violence, failing schools, falling property
values, etc. Less, it seems, stress on legal and technical,
even constitutional, concerns):
1.
Want gov’ts to do more with less (CA budget crisis 2009 =
$50b deficit)
2.
Racial politics (especially in large cities like Detroit)
3.
Crime
4.
Poverty
5.
Education
6.
Environmental concerns
7.
Health care
Chapter 2
Federalism
I.
Why study federalism today
A. Devolution-Revolution; likely to continue?
1. Republicans last 20 years
2. Federalism internationally - EU; UK-Scotland and
Wales; Canada-Quebec; Iraq-Kurdistan
B. Issues (Political Party positions and inconsistency)
1. Bush – education (national)
2. Clinton – welfare reform (states)
3. Homosexual marriage – mix
*Matter of political convenience
II. Federalism, America’s original contribution to
political theory
A. Definition: power is divided and distributed BOTH to
the national and subnational governments (states).
Key point: mere existence of national and subnational
gov’ts, not the point. Question is does the power of
one ultimately flow or derive from the power of the
other or is the power of each ultimately derived from
one common source (e.g., constitution).
B. Forms and interpretations of federalism
1. Dual Federalism: constitution gives distinct powers
to nat’l gov’t, rest to states.
2. Cooperative federalism: federalism stress
intergovernmental relations and calls for cooperation
among levels to deliver goods and services (team
work).
3. Marble cake federalism: nat’l and state gov’ts are all
involved in practically all policy areas and not distinct
areas of dominance (not like a layer cake).
4. Competitive federalism: views states as competing
with other states and national gov’ts like businesses
innovating in order to satisfy demand and earn
customer (i.e., citizen) loyalty and residence.
5. Permissive federalism: despite the constitution, states ultimately
govern only with permission from national government.
6. “Our federalism”: argues that the constitution limits the power of
the national government and reserves most powers to the states
(10th amendment).
C. Alternatives to Federalism:
1. Unitary system – sovereign power flows from people to nat’l
gov’t to state gov’ts.
2. Confederation – sovereign power flows from people to states to
national gov’t.
3. Federation – sovereign power flows directly from people BOTH
to national AND state gov’ts.
*Articles of Confederation vs The Constitution (Fig 2-1)
C. Why Federalism?
1. Check on tyranny – diffuses power vertically; prevents
dominance of single-interest group or even majorities, both of
whom have to work through a federal system of power (Madison
quote p. 20)
2.
3.
4.
5.
III.
A.
1.
2.
3.
Federalism allows for unity without uniformity – states able
to satisfy the particular policy demands of their particular
citizens (diversity). Federalism allows, for example, states
to diversify their treatment of abortion in widely divergent
ways, though without outlawing it.
Encourages experimentation – states are “laboratories of
democracy” where policy experiments can occur and other
gov’ts can evaluate their success for adoption
considerations; leads to policy innovation, better policy.
Keeps gov’t closer to people – more participation in, access
to, and responsiveness from government.
Manages Conflict
Constitutional Structure of Federalism (Table 2-2)
Powers delegated to national government
Express/Enumerated
Implied (necessary and proper clause)
Inherent – foreign affairs domain of national gov’t whether
derived from constitution or not.
4.
5.
6.
7.
B.
1.
2.
3.
C.
1.
2.
3.
4.
5.
6.
National Supremacy clause
War Power
Regulate interstate and foreign commerce
Tax and Spend
Powers of the States
Concurrent Powers (e.g., tax and spend)
All else not given exclusively to national gov’t.
Those state laws/powers that do not compete with
national laws/powers.
Limitations or Obligations on gov’t power
Make treaties (N-only)
Coin money (N-only)
Tax imports (N-only)
Maintain an Army (N-only)
Make war (N-only)
Violated Constitutional Rights of individuals (neither)
D.
1.
Interstate Relations
Full Faith and Credit – (Article IV, Sec 1) requires state
courts to enforce civil judgments and acts of other states
(like marriage).
2. Interstate privilege and immunities – (AIV, S2) states must
allow other state citizens same privileges of their own
(legal protection, employment, use of courts, state
services in a reasonable time, etc.).
3. Extradition (AIV, Sec2) – states must arrest and send
wanted individuals to respective state at executive’s
request.
4. Interstate compacts – resolve disputes with other states
without force; either court or compacts (agreement made
between states, regulated by a newly created interstate
agency, approved by congress).
IV. Role of Federal Courts in Federalism
A. McCullough v. Maryland (1819) – MD levied a tax on
the new national bank located in MD (like other state banks). Nat’l gov’t
refused to pay. MD challenged the constitutionality of the bank
(was not expressed power and not implied power since not
essential or “necessary” to carrying out the expressed power).
National gov’t argued that an implied power does not have to be utterly
essential, only reasonably connected or “proper” to an expressed
power.
Marshall ruled
1. Implied powers: If the end is legitimate, any means related to that
end is legitimate.
2. National Supremacy: States can tax, but not federal objects.
National powers trump state powers, whether expressed or implied.
B. Federal Courts and Role of States – Over time, federal courts have
favored the federal gov’t when in conflict. (Read quote p. 29).
* “I do not think the U.S. would come to an end if we lost our power to
declare an Act of Congress void. I do think the Union would be
imperiled if we could not make that declaration as to the laws of the
several states.” -- Justice Oliver Wendell Holmes
B. To centralize or not to centralize
1. Decentralists - Anti-federalists to John C. Calhoun
and southerners, SC early 20th century, Republicans
last 20 years.
a. Constitution rests on authority of citizens of States,
not “undifferentiated people of Nation as a whole”
(Clarence Thomas). Constitution = treaty among
states.
b. When in conflict or unclear, favor states
c. 10th amendment – national gov’t can do only what is
expressed or clearly implied. All else, “reserved” to
states.
d. Better because states are closer to people
e. Prevents consolidation of power, uniformity, conflict,
policy incongruence.
law established by the people (not states).
c.
Nat’l authority is supreme and exists unless specifically
prohibited by constitution.
d.
10th amendment does not limit national power, only grants
power to states also (“reserved” does not imply exclusive).
e.
Better because national gov’t has more resources to solve
problems. More objective player in local or state conflicts
(racism) and ability to regulate industries (fear of flight).
Universal in interest, not particular (self-interested states).
D. Supreme Court and Congress – mid-80s favored congress
extensively over states. Recently, indicating a shift in favor of
states under direction of deceased Chief Justice Rehnquist. He
argued 1) Congress must plainly state their intention of
preempting state law before the SC will allow it 2) Congress
regulation of non-economic activities under the commerce
clause must be “substantially affect interstate commerce.” 3)
14th amendment can not create new rights obligating states,
only protecting rights already recognized in Constitution by SC.
V. Developments in Federalism
A. Federal Grants
1.
Categorical – narrow purpose grant (school buses)
Block Grant – grant for a policy area only
(education)
3. Project grants – individuals or agencies apply for
these to fund a project they are working on (one
school’s computer lab or a professor’s research).
B. Growth of Big National Gov’t
1. Industrialization encouraged bigger nat’l gov’t (they
wanted help and others wanted them regulated).
2. Economic growth – more tax revenues (also, 16th
amendment income tax).
3. Depression – more tolerance of big gov’t.
4. Less voter interest in state and local gov’t thanks to
media coverage shift.
5. More interest group/citizen demands on nat’l gov’t.
C. Devolution-Revolution – going in reverse. Clinton
said “Era of big gov’t is over.” Overstated. Some
policy areas are shifting to states, but still few.
2.