POS 3122 State & Local Gov Ex1

Ch 1-6

States serve as _____ of ______.

laboratories of democracy

comparative method

Comparing similarities & differences across state policies can help poli scientists explain why policies/outcomes differ —> learn from other states’ policy successes/failures before implementing nationally

States are often ___ (in reference to policy creation)

innovators

What are the 2 reasons why state policies differ from state to state?

Sociodemographics & political culture

Sociodemographics

Characteristics of a population (size, age, ethnicity)

political culture

Identifiable values & attitudes & beliefs about the role & responsibility of gov.

What are the 3 types of political cultures?

Moralistic, individualistic, traditionalistic

Moralistic culture

Politics & gov used to achieve a good & just society

individualistic culture

Ppl view gov as extension of marketplace that provides services (go there when you need it). It’s where ppl participate for individual reasons to achieve individual goals. Gov provides services ppl want, but not to create a “good” society & should not intervene in private activities.

Traditionalistic culture

Gov exists to maintain social order where power is concentrated at top w/elites. Gov serves (+) role like moralistic, but prioritizes order; more conservative.

FL tends to have a ____ political culture

traditionalistic

Devolution

Process of taking power & responsibility away from fed gov & giving it state/local govs. Has been occurring for past 30 yrs.

Election laws & districting are examples of ____ where ____ has given more authority to ____

Election laws & districting are examples of devolution where the Federal gov has given more authority to the states.

Federalism

System of gov where power is divided between national & state/local govs. Neither layer is theoretically superior to the other, sometimes powers overlap.

Unitary systems

National gov exercises all authority or devolves duties.

Confederalism

Subnational gov’s exercise all or nearly all authority w/in an area of land

Rank the 3 main systems of gov from most to least centralized

1. Unitary system (France, Japan, S. Korea)

2. Federation (US, CAN, AUS)

3. Confederation (EU, UAE, US before 1789)

What are the 4 advantages of federalism?

1. Allows for flexibility among state laws & institutions

2. Reduces conflict bc states can accommodate citizens’ interests.

3. Experimentation at state level.

4. Enables the achievement of national goals.

What are the 5 disadvantages of federalism?

1. Increases complexity & confusion (more bureaucracy)

2. Can lead to conflict over jurisdiction (encroachment)

3. Makes coordination difficult.

4. Creates inequality in services & policies.

Encroachment

Gov claiming or exercising authority that properly belongs to another gov w/in the federation. Usually when fed gov assumes powers traditionally reserved for states.

Burden shifting

Gov tries to push the costs of its policies onto other govs or citizens. Typically between two state/local govs. (ex: wind direction map)

Interstate compact

Solution to burden shifting where 2 states agree to preserve a common pool resource that crosses state boundaries.

Unfunded mandates

Ex of encroachment & potential burden shifting bc Fed requires states to start gov programs but doesn’t provide the appropriations

shirking

Gov fails to carry out responsibilities it has agreed to perform. Usually between Fed & state gov where states rely on Fed to perform duties reserved for the states (states shirking) or when states try to perform duties typically performed by the Feds (Feds shirking).

What’s an example of shirking? Specifically, states shirking?

Fed relied on states to enforce Clean Air Act standards

American federalism developed as an answer to ____ _____ problems

collective action problems

What are some examples of collective action problems that existed under the Articles of Confederation?

• Central gov couldn’t levy taxes.

• US struggled to raise troops for Rev War bc Congress couldn’t force states to provide troops/funds —> states closest to battles gave more.

• National debt went unpaid.

• States began taxing each other for imports

What event was the turning point that incited a Constitutional Convention in Philadelphia in 1787?

Shay’s Rebellion

Enumerated powers

Authorities explicitly listed in the Constitution.

Most enumerated powers of Congress are found in Art ___ Sect ___

Art 1, Sect 8

What are some examples Congress’ enumerated powers? (6)

1. Declare war

2. Provide the common defense

3. Regulate interstate commerce & Native nations.

4. Establish post offices & post roads.

5. Currency

6. Others: naturalization, patents. etc

How did the US Constitution strengthen the Federal gov & weaken the states? (3)

• Supremacy clause.

• States must adopt “republican” gov w/elected representatives.

• States can’t pass certain types of laws (treaties, coining own $$).

Concurrent powers

Powers granted to fed gov but not denied to states (taxing, social welfare, research & development, business regulation)

Preemption

Enabled by the Supremacy Clause, Fed gov can pre-empt/override areas regulated by state law if it doesn’t comply w/the Supremacy Clause

Implied powers

Fed gov has powers not explicitly listed depending on the context. Enabled by the General Welfare clause & Necessary & Proper clause.

Plenary powers

Broad authority except where constrained by the U.S. Constitution. Ex —> States have plenary authority over areas not constrained by enumerated powers given to Congress or their own constitutions. Ex: state has plenary power over education since it was not listed in the Constitution

Police/reserved powers

Powers reserved for states, powers not enumerated, under 10th Amendment (K-12 education, traffic, zoning, marriage, insurance)

Connecticut Compromise

Only item that cannot be explicitly amended in the Constitution. Compromises w/bicameral legislature that features a chamber determined by population size + a chamber w/equal representation for every state.

What is NOT federalism? (3)

1. Bicameralism

2. Separation of powers

3. Republican gov; possible to have federations of monarchies

State gov’s shape the national gov by (3):

1. Ratifying amendments. All but 1 were sent to state legislatures.

2. Right to call a Constitutional Convention.

3. Draw Congressional districts

What are some key policy areas plenary for the states? (3)

• Rights to education

• Rights to healthcare

• Labor protections & rights

State constitutions tend to include _____ rights

Positive

The US Constitution tends focus on civil ___.

civil liberties: negative rights, freedom FROM

State constitutions tend to be ____ and ____ than the US Constitution (2)

• More detailed

• Longer

What are the 2 ways a US Constitutional Amendment can be proposed? Which is most popular?

1. 2/3 vote in House & Senate (used 26 times)

2. 2/3 state legislatures call for Constitutional Convention —> 2/3 vote of the national convention

What are the 2 ways a US Constitutional Amendment can be ratified? Which is most popular?

1. ¾ state legislatures (used 26 times)

2. ¾ state conventions

What are the 3 main problems with federalism? Which gov’s do these issues occur between?

1. Encroachment: Between fed & state gov.

2. Burden shifting: Between two states/local govs.

3. Shirking: Between state & fed gov.

What are the 4 types of safeguards that preserve federalism? What helps ensure federalism keeps gov layered?

1. Structural safeguards (ex: enumerated powers)

2. Popular safeguards (ex: public opinion)

3. Political/partisan safeguards (ex: co-partisan officials cooperate across mult layers)

4. Judicial safeguards (ex: court intervention)

Market preserving federalism

Given tiebout sorting, states will compete against each other to offer competing incentives to lure certain companies & industries

Tiebout sorting

Ppl & businesses “vote with their feet” —> ppl choose where they want to live based on the incentives offered (ex: FL offers income tax break —> “sorts” seniors into FL)

Layer cake = ___ federalism
Marble cake = ____ federalism

Layer cake = dual federalism
Marble cake = cooperative federalism

Layered cake = dual federalism

National & state govs have very distinct responsibilities. What the US used to have.

Marble cake = cooperative federalism

Federal infrastructure grew —> fed gov began providing aid to states for infrastructure, higher ed, social programs —> diff lvls of gov so mixed together, hard to separate cleanly. Currently use this model, but Fed has more authority (+ more ad hoc)

What are 2 ways the fed gov has exercised increased authority over states?

By attaching strings to federal aid.

1. Unfunded mandates: Direct state action w/no financial backing.

2. Crossover sanctions (US enforcing 21 drinking age by withholding $$ from highways).

Ad hoc federalism (3)

• Currently used

• View of gov (state-centered vs nation-centered) determined on basis of political or partisan convenience.

• Ex: Repubs favor state-centered position on abortion

Bottom up federalism

• Emerged more in 2000s

• Policy innovation begins in states then placing pressure on national policy. Often due to federal inaction.

• Ex: women’s suffrage, started in WY & eventually became amendment.

What are the 3 ways policy innovation the states places pressure on national policy? (bottom up federalism)

1. Policy learning: One gov “copies” another gov at same lvl’s policy (Romneycare —> Obamacare)

2. Snowball effect: Many adoptions pressure upper lvl.

3. Ideological & symbolic politics: State adopts a policy to try & normalize it.

Policy diffusion

Policies spread among govs w/in same lvl —> gov’s observe policy that appears successful & adopt it themselves

What are the 4 causes of policy diffusion?

1. Policy learning

2. Economic competition

3. Imitation of larger neighbors

4. Coercion by higher gov

Policy diffusion vs bottom up federalism

Policy diffusion can lead to bottom up federalism (ex: Marijuana)

Example of Dead Hand’s grip

IL workers secured pension protections in their state constitution, however, court rulings limited pension reforms as financial situations changed bc of Dead Hand’s Grip

Madisonian view on amending the constitution

Americans tend to revere their national constitution —> very few amendments to preserve constitutional continuity

Jeffersonian view on amending the constitution

Each generation should have the ability to govern itself —> like state Constitutions, there should be frequent amendments to keep the laws updated.

What are the 3 ways to change a state constitution?

1. Constitutional Convention (now rare): Delegates are voted, new constitution must be ratified by voters.

2. Amendments that are ratified (most common): Legislative referendum, ballot initiative, vote w/out popular approval (only in DE).

3. Judicial review

Legislative & popular referendum

Legislative: Legislature sends piece of legislation to ppl to vote on the state constitutional amendment. Must past certain threshold to become amendment (ex: 60% in FL).

Popular: Must past 60% vote to repeal legislation.

Ballot initiative

Process where voters collect certain # of signatures to put proposed state constitutional amendment on ballot. Must certain threshold to become amendment. Circumnavigates the state legislature

Direct: 1st considered by ppl

Indirect: 1st considered by legislature

Recall election

Once voters satisfy petition requirements (gather enough signatures), voters can vote on removing an official before their regular term ends.

3 forms of direct democracy used at state level

1. Legislative & popular referendums

2. Ballot initiatives

3. Recall elections

What region is more likely to have direct democracy? Why?

Western states (CA, OR. NV, AZ, CO, MT). Why: These states were younger & joined Union during Progressive Era (early 1900s) —> revised state Constitutions when direct democracy was becoming more popular

FL Amendment Process includes these 3 methods for amending the FL Constitution

1. Referendum: 60% vote in House & Senate —> 60% majority of voters for ratification.

2. Ballot Initiative: 880,000+ signatures to get amendment on ballot —> 60% majority of voters for ratification.

3. Amendment Commission: Constitutional Revision Commission & Taxation & Budget Reform Commission (every 20 yrs, 60% majority voter approval for ratification)

Americans have ____ constitutionalism

Dual Constitutionalism: they must follow 2 constitutions, but Supremacy Clause states that state constitution can’t override US Constitution.

What form did the earliest constitutions take on?

Earliest constitutions were charters granted by the King, providing rights to individuals or business w/some self governance. 5/1776 Continental Congress encouraged states to replace charters w/constitutions

Progressive Era

Early 1900s, when direct democracy began spreading, having notable influence on Western states. Result of populist movement.

How is the petition threshold determined in FL

Signature threshold differs because it is determined partly by voter turnout in previous presidential election (2024 Election —> high petition threshold for 2025)

Research finds that businesses ____ easily place measures on the ballot. They are typically successful at persuading voters to ____ measures.

1. Research finds that businesses cannot easily place measures on the ballot.

2. They are typically successful at persuading voters to NOT to approve/avoid measures.

____ _____ are effective at gathering petittions.

Interest groups are effective at gathering petitions (like teachers’ unions)

Ballot proposals provide opportunities for ____ (citizen, special) interests to mobilize, but their influence is often counterbalanced by _____ (citizen, private) interests or competing special interests.

Ballot proposals provide opportunities for special interests to mobilize, but their influence is often counterbalanced by citizen interests or competing special interests. (think of the bridge owner w/monopoly in Detroit)

Ranked choice voting (2)

• Potential solution to polarization

• Candidates ranked most to least preferred. Votes counted in rounds. Candidate w/51% votes wins. If not one gets 51%, then candidate w/least amount of 1st place votes gets dropped, your 2nd place if your 1st place got dropped becomes your 1st place.

While states have the _____ _____ _____ clause, allowing them to control voting & election rules, the Courts must balance the states’ legal abilities w/the ____ Amendment’s _____ ______ clause.

While states have the Times, Places, and Manner clause, allowing them to control voting & election rules, the Courts must balance the states’ legal abilities w/the 14th Amendment’s Equal Protection clause.

cumulative voting

More common in multi-member districts, each voter gets designated amount of votes & chooses how they want to distribute their votes among candidates. Candidate that collects the most votes/tokens wins.

first past the post

Plurality, 1st person to get the most votes wins, doesn’t have to be over 50%

Institutional effects on voting participation (7)

1. Registration dates

2. Absentee voting rules

3. Voting methods (1st past the post, cumulative, ranked choice)

4. ID requirements

5. Postal voting

6. Primaries (open, closed, semi closed, top 2)

7. Districting methods (at large, district, single member, multimember)

Difference in voting participation can be due to ____ and _____ factors

Difference in voting participation can be due to personal and institutional factors

Personal: age, work schedule, interest in politics, homeownership

Voting age population (VAP)

ALL ppl 18+, including prisoners, institutionalized

Voting eligible population (VEP)

All ppl 18+ who can LEGALLY vote

What is one example of an institutional factor that can determine a state’s VEP? Describe this in the context of FL.

• In 2018, 64.6% of FL voters restored voting rights to felons who had completed their sentences, didn’t commit certain crimes, and had paid off all their court costs.

• ACLU sued stating that the “paying off all court debts” was like a poll tax.

• Law was still upheld

Explain how women’s suffrage is an example of policy diffusion leading to bottom-up federalism

• WY first granted women voting rights.

• Other states caught on w/some interest groups realizing that allowing women to vote would give them more votes.

• Became national movement, leading to the passage of the 19th Amendment

What do advocates for decentralized elections argue? (2)

• Helps prevent national election from being rigged easily

• Allows for experimentation & innovation

Participation bias

When voters have different preferences from non-voters —> if everyone thought the same thing, then it wouldn’t matter who or how many voted (seats would rarely flip bc margins would be too small).
Non voters tend to favor slightly more liberal policies than voters.

______ elections (districting method) + _______ voting result in LESS representation of minority groups than _____ elections (districting method) + _____ voting

At large elections + 1st past the post voting result in LESS representation of minority groups than district elections + 1st past the post voting

Minority vote dilution (4)

• Illegal

• When a neighborhood/district has a majority population that will consistently out-vote the minority simply bc of how the district was drawn (cracking)

• Assumes: 1) Neighborhoods still segregated 2) voters tend to favor candidates that look like them.

• At large elections more prone to this

Example of minority vote dilution in Tallahassee (2)

• In 1983 NAACP sued city commission for allowing all 5 commissioners to be elected at large (no districts).

• Court ruled that 5 commissioners must have separate elections w/at large districts.

3 preconditions of Thornburg v. Gingles

1. Compact: Minority is sufficient size & geographically compact to form a majority in a fairly drawn single-member district.

2. Cohesion: Minority voters are politically cohesive.

3. Bloc: Majority bloc voting usually defeats the minority

malapportionment

Representatives rep unequal numbers of ppl, giving some districts more voting power than others. Diff than gerrymandering, which is deliberately drawing districts to give some groups of ppl w/in a district more voting power than others.

partisan gerrymandering

• Legal

• Deliberately drawing a district to pack a concentration of a particular party into a particular district (packing)

• Deliberately drawing a district to dilute a party (cracking). Like minority vote dilution but legal bc it doesn’t target a particular race/ethnicity.

racial gerrymanderring

• Illegal

• Like partisan gerrymandering (cracking, packing) but on basis of race.

semi closed primaries

Registered party members must vote for their party & indep voters can participate

semi open primaries

RARE: Everyone can vote in the primary, but you first have to register for the primary.

fusion voting

Multiple parties can nominate same candidate, legality depends on state

affective polarization

Thinking positively about your group but negatively/distrusting “others”