State Power and Delegation—Study Notes (Ch. 14)

14.1 State Power and Delegation

  • Learning objectives
    • Explain how the balance of power between national and state governments shifted with the drafting and ratification of the Constitution
    • Identify parts of the Constitution that grant power to the national government and parts that support states’ rights
    • Identify two fiscal policies by which the federal government exerts control over state policy decisions
  • State power at the founding
    • Before the Constitution, state governments held most power; the national government under the Articles of Confederation was deliberately weak
    • Key weaknesses under the Articles
    • No president to oversee policy; no federal courts to settle interstate disputes
    • States retained substantial authority, including taxation powers
    • Each state legislature appointed its own Congressional representatives and had recall power
    • Amendment required unanimous consent of all states; each state had one vote in Congress regardless of population
    • Tariffs and debt collection failures: Congress couldn’t compel states to cover Revolutionary War debt; tariffs blocked by states with financial interests in failing tariffs
  • From Articles to the Constitution: the creation of federalism
    • 1787 Convention led to a new system with a division of power: core duties to the national government, core duties to the states, and shared duties
    • Result: the current federal system known as federalism
  • The Constitution’s allocation of power
    • Expressed (delegated) powers to Congress and the President are spelled out in Article I, Section 8 and Article II, Sections 2–3
    • Implied powers arise from the elastic clause: Article I, Section 8, which grants Congress authority "to make all Laws which shall be necessary and proper for carrying into Execution the Foregoing powers" frac{3}{4}
    • Used to justify federal roles in controversial policy issues (healthcare, taxation expansion, interstate commerce regulation)
    • Supremacy Clause (Article VI): the Constitution and federal laws/treaties supersede state constitutions and laws in conflicts
  • Allocation of power after the Constitution
    • States retained sovereignty in many domains: local governance (county, municipal, school districts) and ratification of amendments
    • States’ ratification role: amendments typically proposed by Congress and ratified by frac{3}{4} of state legislatures or conventions; the Twenty-First Amendment (repealing Prohibition) was ratified via state ratifying conventions
    • State constitutions continue to establish local governments and their structure
  • Amending the Constitution
    • Congress can propose amendments with at least frac{2}{3} of both houses
    • Amendments can be proposed at a national convention if at least frac{2}{3} of state legislatures apply
    • Ratification occurs by at least frac{3}{4} of the states
    • Current debate: whether to hold a national convention to propose a balanced budget amendment; by 2020, 15 states had applications, 34 are needed for a convention; 19 more states would be required to reach the threshold; proponents cite fiscal discipline; critics worry about unlimited potential amendments and risk to federal-state balance
  • Reserved and concurrent powers; examples
    • Reserved powers: powers not delegated to the federal government nor prohibited to the states belong to the states (Tenth Amendment)
    • Concurrent powers: shared responsibilities such as income tax collection, corporate tax collection, highway maintenance, and lawmaking
    • State examples of concurrent powers: helmet laws, texting-while-driving bans, DUI regulations
  • The evolution of federal power: the New Deal and beyond
    • 1933: Roosevelt’s New Deal expanded federal power to combat the Great Depression
    • Early Supreme Court resistance (e.g., Schechter Poultry Corp. v. United States) labeled some programs as overreach
    • Shift in the 1930s–1960s toward greater federal authority to address national crises and welfare
    • 1964: Johnson’s War on Poverty created Great Society programs (Medicare, Medicaid, Food Stamp Program), expanding the federal social safety net
    • Post-1940s: federal spending surpassed state/local spending and widened gaps in authority
    • Federal aid via categorical grants allowed the federal government to dictate terms to states in specific policy areas
    • Unfunded mandates: federal requirements on states without accompanying funding; prompted reforms like the Unfunded Mandates Reform Act of 1995 to require cost information from the CBO before considering mandates
  • The role of the states and localities in implementing national policy
    • Despite stronger federal power, states have gained latitude since the late 20th century, including welfare reform (PRWORA, 1996) which gave states discretion over welfare provisions
    • States can differ significantly on controversial policy areas (e.g., abortion regulations, medical marijuana) while federal standards may govern other areas (e.g., same-sex marriage)
  • Dillon’s Rule and home rule at the substate level
    • Dillon’s Rule: state actions supersede local actions; localities exist at the pleasure of the state
    • Most states have supremacy clauses over local governments
    • Home rule: local autonomy granted via charters; conflicts can arise (e.g., Denton fracking ban overturned by Texas in 2015)
  • Local government revenue and finance
    • Local governments rely heavily on grants/transfers from higher levels of government and property taxes
    • Property taxes are visible and often controversial; many states cap or reduce property tax increases (Prop 13 in California, 1978) to limit growth in local revenue
    • Property values and local tax bases are affected by economic conditions and school quality; non-profit exemptions (churches, colleges) reduce tax base; Detroit bankruptcy (2013) illustrates municipal fiscal distress and debt restructuring
  • Key connections and implications
    • Federalism creates a balance between national uniformity and state/local flexibility
    • Fiscal arrangements (grants, mandates, tax policies) influence subnational policy choices
    • Intergovernmental relations shape everyday life (education funding, infrastructure, public services)

14.2 State Political Culture

  • Learning objectives
    • Compare Daniel Elazar’s three forms of political culture
    • Describe how cultural differences shape attitudes toward government and participation
    • Discuss main criticisms of Elazar’s theory
  • Elazar’s three political cultures
    • Moralistic political culture
    • Government seen as a means to improve society and promote general welfare
    • Officials expected to be honest; public service seen as a noble mission; broad public programs to aid the disadvantaged
    • Encourages high citizen participation and easier voter registration; elections are competitive; public service is valued
    • Historical roots: Puritans in upper New England; diffusion to Midwest and West
    • Individualistic political culture
    • Government functions like a marketplace; emphasis on individual needs and private goals
    • Policies often crafted to attract business and support individual entrepreneurship (e.g., tax incentives)
    • Citizens’ participation driven by personal interest; more tolerance for political machines and party competition; loyalty to party rather than person
    • Origins: non-Puritan English and German settlers; early Mid-Atlantic growth
    • Traditionalistic political culture
    • Government exists to maintain the social order; elites control policymaking
    • Politics seen as a privilege of the political class; public participation is more limited
    • Associated with the South and the plantation-era legacy; less inclusive political participation (barriers like ID requirements)
  • Oregon as an illustrative case
    • 1998: Oregon adopted mail-in voting; 2015: automatic voter registration for citizens with a driver’s license; evidence of increased participation (e.g., 225,000 added to voter rolls by 2016; about 100,000 (≈43%) voted in 2016)
    • Debate over automatic registration: supporters say it expands democracy; opponents fear coercion or increased turnout without citizen consent
  • Implications of Elazar’s theory
    • Moralistic states emphasize broad civic engagement and merit-based public service; higher likelihood of third-party participation
    • Individualistic states emphasize personal gain and market-like governance; greater tolerance for corruption; electoral competition often party-centered rather than issue-centered
    • Traditionalistic states limit mass participation and prioritize elite control; voter barriers reflect this culture
  • Critiques of Elazar’s theory
    • Immigration patterns have shifted; three-culture model may not capture current diversity
    • Mobility and diffusion reduce geographic “home base” of cultures
    • Culture is difficult to quantify; diffusion and urbanization complicate measurement
    • Critics argue that changes in demographics, technology, and policy diffusion require updating the framework

14.3 Governors and State Legislatures

  • Learning objectives
    • Identify the formal powers and responsibilities of modern-day governors
    • List the basic functions performed by state legislatures
    • Describe how state legislatures vary in size, diversity, party composition, and professionalism
  • Governors in charge
    • Governors serve as the state’s spokesperson, agenda-setter, and crisis manager; they influence policy through budgets, agendas, and vetoes
    • They confront crises (e.g., Flint water crisis; COVID-19 response) and navigate intergovernmental coordination
    • Governors’ power varies by state, but typically exceeds that of the U.S. president relative to their legislature due to longer terms and broader remit within the state
  • Formal powers and tools
    • Executive budget proposal: governors outline funding priorities and agency allocations; surpluses allow tax cuts or new initiatives; deficits require cuts or revenue consideration
    • Veto powers and line-item veto: governors sign or veto legislation; most states allow line-item veto to strike specific items while passing rest of bill; some allow amendatory veto (send bill back with a suggested amendment); a few (e.g., Texas) have reduction veto power
    • Vanna White veto vs. Frankenstein veto (Wisconsin example): selective deletions or rewordings to alter a bill’s impact; state-level reforms removed these powers following referenda (2008)
    • Special sessions: governors can call special sessions to address budget crises, redistricting, or urgent issues; some states allow only the governor to call them, others share the power with the legislature
  • Other powers and political roles
    • Governors fundraise for their party and other candidates; serve as party leaders and national spokespersons; coordinate with the National Governors Association
    • They engage in intergovernmental lobbying and corporate outreach to attract investment and jobs; examples include governors urging relocation of HQs or courting business leaders
    • Crises and policy battles: responses to disasters (e.g., Hurricane Sandy, Indiana RFRA controversy) shape governor’s reputation and policy direction
  • National Guard and emergency authority
    • Governors can mobilize the National Guard during emergencies; federal versus state use of the Guard is a complex area with overlapping authority
  • Pardons and clemency
    • Governors often have authority to grant pardons and to commute sentences, similar to presidential powers at the national level
  • Challenges and constraints on governors
    • Plural executive (statewide elected officials like lieutenant governor, attorney general, secretary of state) limits gubernatorial control
    • Economic constraints and revenue shortfalls can force unpopular decisions and affect political support
  • The legislature: functions and dynamics
    • Three primary functions: lawmaking, representation, and oversight of the executive
    • Lawmaking: must draft, debate, and pass bills; most bills die in committee; identical passage required by both chambers before going to the governor
    • Representation: legislators act as delegates (reflecting constituents’ wishes) or trustees (exercising independent judgment)
    • Oversight: committees examine spending and agency performance; hearings and investigations ensure alignment with legislative intent
  • Composition and structure of state legislatures
    • Most states are bicameral; Nebraska is unicameral (49 members)
    • Size and structure vary: Alaska House has 40 members (smallest) and New Hampshire Senate has up to 400 members (largest) for the lower and upper houses respectively
    • Term lengths: House terms typically 2 years; Senate terms often 4 years
    • Diversity and professionalism
    • Women: 2025 estimate shows about 32.43 ext{ extpercent} of state legislators were women (varying by state; e.g., around 42 ext{ extpercent} in Arizona and Vermont)
    • Minority representation lags population shares for African Americans and Latinos; Latinos are overrepresented in some states and underrepresented in others; African Americans show high representation in some Southern states
    • Party control: as of early 2025, 28 states had Republican majorities in both chambers, 18 had Democratic majorities, and in 3 states (Michigan, Minnesota, Pennsylvania) control was split between chambers
    • Unified government vs. divided government: unified government (governor’s party controls both chambers) generally facilitates policy; divided government can prompt compromise or veto battles
  • Legislative professionalism
    • Three categories: professional (full-time, large staff, long sessions), hybrid (semi-professional), citizen (part-time, small staff)
    • California, New York, and Pennsylvania are among the more professional legislatures; New Hampshire, North Dakota, Wyoming, and South Dakota among the less professional
    • Professional legislatures correlate with higher competitiveness of elections and longer careers; professional legislatures tend to align more with the governor’s agenda due to time and resources
  • Terminological notes and data points
    • Key figures for context
    • Women in state legislatures: 32.43 ext{ extpercent} (2025) with state-by-state variation
    • Unions and lobbying influence: term-limited or less-experienced legislatures may rely more on lobbyists for information
    • Split government maps and party composition influence policy outcomes
    • Public expectations and accountability shift with legislative professionalism and term length

14.4 State Legislative Term Limits

  • Learning objectives
    • Describe the history of state legislative term limits
    • Compare the costs and benefits of term limits
  • Basics of term limits
    • Term limits cap either lifetime service or consecutive terms
    • History: first wave of term limits in 1990 (California, Colorado, Oklahoma); eight more states followed in 1992; Nebraska in 2000; many later repealed by courts or legislatures
    • Current landscape: 15 states have term limits on their state house and senate; some have repealed by court decisions or legislative action
  • Types of limits
    • Consecutive term limits: a member can serve up to a specified number of consecutive terms (commonly 8 years)
    • Lifetime bans: a member can serve only once for the allotted years and cannot run again
  • Mechanisms of change and consequences
    • First implementation: 1990 wave; subsequent waves; some states repealed term limits later
    • Reasons supporters argue for term limits
    • Bring in new blood and fresh perspectives; reduce the incentive to make policy primarily for reelection; potentially increase policy focus and turnover
    • Increase diversity by opening up seats to new groups; raise electoral competition
    • Create pathways for younger or non-traditional candidates to lead
    • Reasons opponents worry about term limits
    • No guaranteed increase in diversity; empirical evidence shows no significant difference in gender or minority representation between term-limited and non-term-limited states
    • Loss of expertise and policy memory; reduced capacity to oversee the executive branch; increased reliance on lobbyists for policy information
    • Weaker legislatures relative to governors and agencies due to turnover; reduced bargaining leverage and institutional strength
    • Potential decline in voter enthusiasm and turnout if incumbents are consistently barred from serving
  • Advocacy and public discourse
    • U.S. Term Limits is a major advocacy group pushing for broader adoption and against repeal of term limits; campaigns to extend term limits across states and federal level
  • Classroom reflection prompts
    • Consider your own state’s term-limit policy: what changes would-term limits bring to representation and policy outcomes? What are potential trade-offs?

14.5 County and City Government

  • Learning objectives
    • Identify differences between county and municipal governments in responsibilities and funding
    • Describe two primary types of municipal government and three basic county government types
  • County government
    • Structure and scope
    • Counties cover larger geographies than cities but are smaller than states; they are administrative units of the state
    • Approx. 3{,}000 counties in the U.S.
    • Three basic forms
    • Commission system: elected commissioners serve as the governing body with legislative and executive functions including budgeting and hiring
    • Council-administrator system: elected council appoints an administrator who runs day-to-day operations; policymaking remains with the council
    • Council-elected executive system: voters elect both council and executive; the executive can veto council actions and draft budgets
    • County offices and roles
    • County courthouse houses key offices: sheriff, county clerk, assessor, treasurer, coroner, and engineer
    • Functions include public records, elections, property assessments, and infrastructure management
    • Revenue sources
    • Property taxes, portions of sales taxes, and intergovernmental transfers (federal/state grants)
  • Municipal government
    • Structure and scope
    • Approximately 19,500 municipal governments in the U.S. and ≈16,500 township governments
    • Two primary models
    • Mayor-council system: voters elect mayor and city council; executive functions lie with the mayor; powers vary from strong to weak mayor systems
    • Council-manager system: voters elect city council (mayor may be elected separately or chosen from among council members); council appoints a city manager to handle administrative functions
    • Functions and services
    • Provide drinking water and sewage; garbage collection; parks and streets; zoning and building regulations; public safety (police, fire); transportation and economic development
    • Revenue sources
    • Property taxes; user fees (water/sewer, trash collection); portions of sales taxes; taxes on businesses
  • Practical implications and examples
    • Local governance often closest to citizens, yet turnout in local elections tends to be lower than state/national elections
    • Local fiscal health matters for services; examples include stadium financing and municipal infrastructure projects
    • ICMA (International City/County Management Association) offers guidance and data on local leadership

Key Terms

  • amendatory veto: a veto that allows a governor to return a bill to the legislature with a request for a specific amendment
  • charter: a document that provides a framework and detailed account of local government responsibilities and authority
  • commission system: an elected county governing body that handles legislative and executive functions
  • consecutive term limits: statutory caps on the number of consecutive terms a member can serve; requires a wait before re-running
  • council-administrator system: a county government form where the council appoints an administrator to run operations
  • council-elected executive system: a county government form where voters elect both council and executive who can veto council actions
  • delegate: a legislator who represents the will of constituents and acts accordingly, even against personal beliefs
  • Dillon’s Rule: legal principle that state power is supreme relative to local governments
  • doctrine of home rule: local autonomy granted via a charter; local governments gain some independence from the state
  • implied powers: powers not explicitly stated but inferred as necessary to execute the federal government's expressed powers
  • individualistic political culture: view of government as a mechanism to address individual needs and goals; prioritizes private initiative and market-based solutions
  • interest groups: organizations that influence policy and legislative outcomes
  • legislative professionalism: degree to which legislators are full-time, well-compensated, and supported by staff; ranges from professional to citizen legislatures, with hybrids in between
  • moralistic political culture: view of government as a means to promote the general welfare and encourage citizen participation; government work is a public trust
  • traditionalistic political culture: government as a vehicle to maintain social order; elite control; limited mass participation
  • trustee: a legislator who uses personal judgment and expertise to decide on policy, sometimes against constituents’ wishes
  • veto (and types): formal power to reject legislation; includes line-item, amendatory, and reduction vetoes; “Vanna White” and “Frankenstein” vetoes (Wisconsin) illustrate selective editing of bills
  • unified government: when the governor’s party controls both the legislature and the executive branch
  • divided government: when the legislature and governor are controlled by different parties or when chambers are controlled by different parties

Summary

  • The balance of power between national and state governments has evolved from a weak central government under the Articles of Confederation to a robust federal system under the Constitution, characterized by federalism and shared powers, with the Supremacy and Elastic Clauses shaping national power. The Constitution’s amendment process, along with reserved and concurrent powers, ensures a continuing dynamic between national authority and state sovereignty.
  • State political culture, as articulated by Elazar, helps explain variations in government size, citizen participation, and policy outcomes across states, though critiques highlight evolving demographics and mobility that challenge the model.
  • Governors and state legislatures operate in a dynamic political environment, where budgets, veto powers, and interbranch relations shape policy; local governments—counties and municipalities—provide essential services and face unique revenue and governance challenges.
  • Term limits have reshaped many legislatures by altering incentives, expertise, and power dynamics, with ongoing debates about their benefits and drawbacks.
  • The overall structure of state and local government has tangible effects on daily life, including education funding, infrastructure, public safety, and access to services. The ongoing interaction among federal, state, and local levels continues to drive policy variation and experimentation across the United States.