Chapter 14: State and Local Government Exhaustive Study Guide

INTRODUCTION TO THE IMPORTANCE OF STATE AND LOCAL GOVERNMENT

• State and local government matters often receive less media attention and social media enthusiasm than national policy decisions by lawmakers and justices, yet they most directly affect citizens on a daily basis.
• Subnational governments are responsible for daily essentials such as:
  • Maintenance of roads used for commuting.
  • Supply of clean water for hygiene and consumption.
  • Allocation of financial support to higher education, which directly impacts the final tuition bills of students.
• Figure 14.1 Example: In February 2015, parents, students, and teachers in Arizona rallied against proposed education funding cuts in the state budget proposed by Governor Doug Ducey. This highlights that education policy and administration are primarily state and local matters.

STATE POWER AT THE FOUNDING AND CONSTITUTIONAL SHIFTS

• When the framers met at the Constitutional Convention in 1787, they faced tensions regarding the concentration of political power and whether the legislative or executive branch should have more authority.
• State Power at the Founding:
  • Under the Articles of Confederation (ratified in 1781), state power far exceeded national power.
  • The national government lacked a president to oversee policy and a federal court system to settle disputes.
  • State legislatures appointed Congressional representatives (subject to recall) and collected their own taxes.
  • The Articles required the approval of each state for amendments, and each state had one vote in Congress regardless of population.
• Failure of the Articles of Confederation:
  • Congress struggled with financial credibility and could not compel states to pay Revolutionary War debts.
  • Attempts to impose tariffs were vetoed by states with vested financial interests.
• The Shift to Federalism:
  • In 1787, delegates designed a new government system where power is shared between national and subnational governments, a structure known as federalism.
  • The Constitution added the executive branch (headed by a President) and the judicial branch (headed by the Supreme Court).
  • Expressed Powers: Specific powers granted to Congress and the President specifically spelled out in Article I, Section 8, and Article II, Sections 2 and 3.
  • Implied Powers: Powers inferred as necessary to achieve national objectives, stemming from the "Elastic Clause" in Article I, Section 8, allowing Congress to make laws "necessary and proper" for executing foregoing powers. This has supported federal involvement in healthcare, tax collection, and interstate commerce regulation.
  • Supremacy Clause: Article VI declares the U.S. Constitution and federal laws/treaties to be the supreme law of the land, superseding state level laws.

STATE SOVEREIGNTY AND CONCURRENT POWERS

• Reserved Powers: The Tenth Amendment reserves powers to the states (or the people) that are not delegated to the federal government or prohibited to the states.
• State Sovereignty:
  • States have the power to establish local governments and define their structures and responsibilities in state constitutions.
  • States have supreme authority over counties, municipalities, and school districts.
• The Amendment Process:
  • States ratify amendments. All except one (the 21st Amendment) have been proposed by Congress and ratified by $75\,\%$ ($3/4$) of state legislatures or conventions.
  • State legislatures can also propose amendments directly if $2/3$ of state legislatures ($34$ states) apply for a national convention. As of 2018, $28$ states had passed applications for a convention to propose a balanced-budget amendment.
• Concurrent Powers: Responsibilities shared by state and federal governments:
  • Collecting income taxes from citizens and corporate taxes from businesses.
  • Building and maintaining interstate and highway networks.
  • Making and enforcing laws (e.g., laws against texting and driving or DUI regulations).

THE EVOLUTION OF STATE POWER AND FISCAL CONTROL

• The Great Depression and New Deal: Starting in 1933, Franklin D. Roosevelt expanded federal power to revitalize the economy. The Supreme Court initially resisted (e.g., Schechter Poultry Corp. v. United States), but eventually shifted to support government intervention.
• The Great Society: In 1964, Lyndon B. Johnson initiated programs like Medicare, Medicaid, and food stamps. This expanded the federal safety net and made state/local governments partners in implementation, relying on federal program grants.
• Federal Spending Trends: Since 1940, federal spending has consistently exceeded state and local spending.
• Categorical Grants: The federal government uses these to dictate terms and conditions states must meet to receive financial assistance in specific policy areas.
• Unfunded Mandates: Federal requirements imposed on states without attached funding. The Unfunded Mandates Reform Act (1995) requires the Congressional Budget Office to provide cost information for mandates exceeding specific thresholds.
• Devolution and State Flexibility:
  • The Welfare Reform Bill (1996) (Personal Responsibility and Work Opportunity Reconciliation Act) gave states more discretion over welfare implementation in exchange for reduced federal monetary support.
  • States have gained discretion in controversial areas like abortion (parental consent laws, waiting periods) and marijuana (medical use in nearly half the states; full legalization in some, despite federal prohibition).

POWER AT THE SUBSTATE LEVEL: DILLON’S RULE VS. HOME RULE

• Dillon’s Rule: A legal principle by Iowa Justice John F. Dillon stating that state actions trump local government actions; cities and towns exist at the pleasure of the state.
• Home Rule: Many states grant local governments autonomy via a charter (a legal framework for local responsibilities). Conflicts occur: In 2015, Texas overruled a fracking ban imposed by the city of Denton.
• Local Revenue Sources:
  • The largest source is grants and transfers from other government levels.
  • The second largest is property tax collections (assessed on land, homes, and businesses).
• Challenges with Property Taxes:
  • They are highly visible and unpopular because they are collected in lump sums.
  • Proposition 13 (California, 1978): A citizen-led initiative capping real estate tax at $1\,\%$ of cash value and ending reassessments upon nearby sales.
  • Tax-exempt properties: Colleges and churches reduce the tax base (e.g., nearly $50\,\%$ of Boston's property value is tax-exempt).
• Economic Distress: The 2007 mortgage crisis led to a loss of revenue. Detroit, Michigan, filed for Chapter 9 bankruptcy in 2013 due to massive debt and failure to meet pension/healthcare obligations.

DANIEL ELAZAR’S THREE FORMS OF POLITICAL CULTURE

• Set forth in American Federalism: A View from the States (1966), Elazar identified three cultures based on immigrant migration patterns:
• Moralistic Political Culture:
  • View: Government is a means to better society and promote general welfare.
  • Expectations: Officials should be honest and put public interest above private gain.
  • Participation: High value on citizen engagement; elections are contested.
  • Roots: Puritans in New England, moving to the Great Lakes and West Coast.
  • Example: Oregon's 2015 law for automatic voter registration for those with driver's licenses.
• Individualistic Political Culture:
  • View: Government is a marketplace mechanism for addressing individual goals.
  • Expectations: Focus on meeting individual needs; patronage and compensation are expected.
  • Participation: Motivation is personal interest; higher tolerance for corruption.
  • Roots: Non-Puritan English and German settlers in the Mid-Atlantic (NY, PA, NJ), moving toward Wyoming.
  • Example: Governor Chris Christie's tax breaks to attract businesses to Camden, NJ ($14\,\%$ unemployment).
• Traditionalistic Political Culture:
  • View: Government is necessary to maintain the existing social order (status quo).
  • Expectations: Only elites belong in politics; policies should reinforce the interests of those in power.
  • Participation: Voter participation is seen as a privilege, not a right; more barriers to voting (e.g., Photo ID laws).
  • Roots: Southern plantations, spreading to the Deep South and Southwest.
  • Statistics: The South has the highest incidence of poverty and self-reported obesity.

GOVERNORS: EXECUTIVE POWERS AND RESPONSIBILITIES

• Formal Powers: Specifically outlined in state constitutions or laws.
  • Executive Budget Proposal: Setting funding priorities for state agencies.
  • Policy Agenda: Signals priorities via the annual State of the State address.
  • Veto Powers:
    • Line-item Veto: Striking specific portions of a bill while signing the rest.
    • Amendatory Veto: Sending a bill back to the legislature with requested changes (used by $30\,\%$ of governors).
    • Reduction Veto: Reducing the budget amount in a piece of legislation.
    • Frankenstein/Vanna White Vetoes (Wisconsin): Historically allowed governors to alter the intent of a bill by deleting letters or words to create new sentences; voters restricted these in 1990 and 2008.
• Roles Beyond Legislation:
  • Party Leader: Fundraising and campaigning for party members.
  • State Spokesperson: Lobbying for business relocation (e.g., Greg Abbott luring GE to Texas; Amazon HQ2 search).
  • Crisis Manager: Handling natural disasters (e.g., Chris Christie and Hurricane Sandy in 2012; Andrew Cuomo mobilizing $500$ National Guard members for snowfall in 2014).
  • Pardon and Commutation: Ability to release individuals from prison or reduce sentences.
• The Plural Executive: A major constraint where officials like the Lieutenant Governor and Attorney General are elected independently, denying the governor direct control over them.

STATE LEGISLATURES: FUNCTIONS AND COMPOSITION

• Primary Functions:
  1. Lawmaking: Researching, writing, and passing legislation; passing the state budget.
  2. Constituency Service: Representing district interests and helping citizens navigate bureaucracy.
     • Delegates: Vote strictly according to the expressed interest of constituents.
     • Trustees: Use their own judgment and expertise, even if it goes against constituent desires.
  3. Oversight: Monitoring the bureaucracy's implementation of public policy.
• Institutional Structure:
  • All are bicameral (House and Senate) except Nebraska (unicameral).
  • Size: Alaska has the smallest House ($40$ members); New Hampshire has the largest ($400$ members).
• Diversity (2018/2019 Data):
  • Women: $25.4\,\%$ of state legislators nationwide (High: AZ, VT at $40\,\%$; Low: AL, SC, WY under $16\,\%$).
  • African Americans: Underrepresented at $9\,\%$ of legislators vs. $13\,\%$ of the population.
  • Latinos: Underrepresented at $3\,\%$ of legislators vs. $14\,\%$ of the population.
• Professionalism (Peverill Squire Rankings):
  • Professional Legislatures: Full-time, high salary, large staff (e.g., CA, NY, PA).
  • Citizen Legislatures: Part-time, low salary, small staff (e.g., NH, ND, WY, SD).
  • Hybrid Legislatures: Fall in between the two extremes.

STATE LEGISLATIVE TERM LIMITS

• Mechanisms:
  • Consecutive Term Limits: Members can serve a specified time (commonly $8$ years), then must leave, but can run again after a break.
  • Lifetime Ban: Members serve once for the allotted years and can never run again (e.g., Oklahoma).
• History and Status:
  • Movement began in 1990 (CA, CO, OK).
  • Currently, $15$ states have term limits.
  • Some states (e.g., MA, WA) had term limits overturned by courts because they affected candidate qualifications without a constitutional amendment.
• Arguments For:
  • Prevents careerism and brings "fresh blood" and ideas.
  • Increases motivation for innovative policy given narrow windows of time.
  • Potential to increase diversity and leadership opportunities for younger members.
• Arguments Against (Research Findings):
  • No statistically significant increase in diversity for women or minorities.
  • Loss of institutional memory and policy expertise.
  • Increased reliance on lobbyists for information.
  • Shift of power toward the executive branch and bureaucratic agencies.

COUNTY AND CITY GOVERNMENT MODELS

• County Government Forms:
  1. Commission System: Most common; an elected commission performs both legislative and executive functions.
  2. Council-Administrator System: Elected council appoints an administrator to oversee operations.
  3. Council-Elected Executive System: Voters elect both the council and a separate executive with veto/budget powers.
  • County Officials: Sheriff, County Clerk (records/elections), Assessor (property value), Treasurer (funds), Coroner (death investigations), Engineer (infrastructure).
• Municipal (City) Government Forms:
  1. Mayor-Council System: Separates executive (mayor) and legislative (council).
     • Strong Mayor: Mayor has veto power and hire/fire authority.
     • Weak Mayor: Mayor is largely ceremonial.
  2. Council-Manager System: Council appoints a professional city manager to handle administration, freeing the council to focus on politics and policy.
• Funding: Local governments rely on property taxes, user fees (trash/water), sales tax portions, and business taxes.