Introduction to the Study of State Politics Federalism: State Politics within a Federal System

1. 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)

2. 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?

3. 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(?)

4. The Role of Subnational Governments in Policy Outcomes • Education • Spending • Criminal Justice • Courts • Incarceration • Welfare • TANF • Food Stamps • Unemployment Insurance

5. The Role of Subnational Governments in Policy Outcomes • Health Care • Medicaid • Morality Policies • Abortion • Gay Marriage • Alcohol • Recreational drugs

6. The Role of Subnational Governments in Policy Outcomes • Taxing and Spending • Economic policy • Environmental policy

7. 1968

8. 1976

9. 1996

10. 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)

11. 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)

12. 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)

13. 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

14. 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

15. “Laboratories of democracy” • Federalism allows policy creativity and policy innovation and provide an avenue for policy experimentation.

16. 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.

17. The Comparative Method in Practice: What Explains Variation in State Budgetary Woes? • http://www.cbpp.org/9-8-08sfp.htm

18. II. Federalism

19. Types of Governmental Systems • Unitary, Confederate, and Federal Systems  • Different ways of organizing government responsibilities

20. Unitary Systems Central Government Regional Government Regional Government Regional Government Local Governments Local Governments Local Governments

21. Confederate Systems Central Government Regional Government Regional Government Regional Government Local Governments Local Governments Local Governments

22. The U.S. Federal System Federal Government State Government State Government State Government Local Governments Local Governments Local Governments

23. 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

24. The Constitutional Basis for Federalism Federal power: • “Exclusive Powers” = specific powers (e.g. Military affairs and defense, economic matters, taxing powers, governmental organization)

25. 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.”

27. 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” 

28. 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”

29. 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.

30. 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”

31. 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)

32. 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

33. 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

34. 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.”

35. Models of Federalism

36. 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

37. Dual Federalism as Layer Cake Federalism

38. 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

39. Cooperative Federalism as Marble Cake Federalism

40. Increase in Federal Aid

41. Percentage of Government Spending by Level of Government1925-2010 Source: www.usgovernmentspending.com

42. Grants-in-Aid • Definition: an intergovernmental transfer of funds, subject to conditions

43. Grants-in-Aid • Definition: an intergovernmental transfer of funds, subject to conditions • Purpose: To advance federal policy priorities

44. 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

45. 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

46. 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

47. 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)

48. 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)

49. The Redistributive Impact of Federal Spending across the States:Return on Federal Tax Dollar - 2005 KY Source: http://www.nemw.org/taxburd.htm

50. Other Mechanisms for Influencing Subnational/Substate Governments • Mandates – requirement that a state/local government undertake a specific activity or provide a particular service