Chapter 4

State and Local Government

Pearson Education, Inc. © 2008

American Government: Continuity and Change9th EditionTo accompany Comprehensive, Alternate, Texas, and Essentials Editions

O’Connor and Sabato

The Evolution of State and Local Governments Original unit: the state States determined the existence of local government- state

laws create local governments States and local governments primarily part-time in the past

Grew to be full-time Not always representative of all constituencies

Baker v. Carr (1962): one person, one vote 1960s and 1970s

More responsibilities given to states; more assistance, more mandates

Since 1970s Varied trends: some enhanced importance of state and local

government; some expanded the scope of federal government

State Governments

Have primary responsibility for: Education Public health Transportation Economic development Criminal justice

Licenses and regulates various professions Recently more involved in environmental

and welfare policies

State ConstitutionsDescribes the basic policies, procedures, and institutions of the

governments of a specific state Original state constitutions

Focused on limiting government Governors were particularly weak Legislatures more powerful Originally, only S.C., N.Y., and Massachusetts gave governor’s veto

power Northwest Ordinance of 1787

Addressed how new states could join the Union Impact of the Civil War on southern states’ constitutions Western states entered the union with constitutions that

also envisioned weak governments. Worried about political machines Progressive movement

Since 1970s, more than 300 amendments to state constitutions

Changes reflect some ambivalence.

State Constitutions Compared to the U.S. Constitution, state

constitutions are easy to amend. Every state allows for the convening of a

constitutional convention, AND each has a process for the legislature to pass an

amendment Usually by supermajority (two-third’s or three-

fourth’s vote); submit to voters for approval through a referendum; some states even easier process

Implication: frequent changes & longer documents

Governors Chief elected executive in state

government Most visible Most important role: identifying pressing

problems of their state and proposing solutions Budgets are critical Veto authority

General or package Line-item veto

Implementation influence Judicial appointments, pardoning power Commute sentence, grant parole Extradition

State Legislatures Originally strong yet non-professional in nature

Half original state legislatures began without a gubernatorial veto check

Many formulated budgets and made administrative appointments.

Citizen legislators Baker v. Carr (1962): turning point

Today: 43 state legislatures meet every year; only seven every other year Floor sessions longer More committee work All but Nebraska have two chambers.

Term limits Restrictions that exist in some states about how long an

individual may serve in state or local elected offices

State Courts Primary function: settle disputes

Most disputes matter of state law Criminal behavior Family law Contracts, liability, land use

States are separate systems Own rules, procedures

The ONLY time state and federal courts converge is when a case: involves a claim that a state law or practice violates

a federal law. or, a state court judge has interpreted the

Constitution.

State Courts

Inclusion The principle that state courts will apply federal

laws when those laws directly conflict with the laws of the state

Specialized courts Issues such as family disputes, traffic Do not use juries

Appellate courts Have panels of judges

Judicial elections Missouri (Merit) Plan

Elections and Political Parties Determine who will fill offices and direct the state

government Almost all elections are partisan.

Exceptions are judicial elections (and the senate in Nebraska’s unicameral legislature).

Party histories vary among states. Competition between Republican and Democratic Party

since the Civil War From 1994 to 2002, Republicans have made gains in state

elections, particularly in South. Today, Southerners are significant members within the

Republican Party – nationally and regionally.

Direct Democracy

Progressive Reform Direction initiatives

Voters can place a proposal on a ballot and enact it into law without involving the legislature or governor.

Indirect initiatives Legislature places a proposal on a ballot

and allows voters to enact it into law, without involving the governor or further action by the legislature.

Direct Democracy

Direct (popular)referendum Voters can veto a bill recently passed in the

legislature by placing the issue on a ballot and expressing disapproval.

Advisory referendum Voters cast non-binding ballots on an issue or

proposal.

Recall Voters can petition for a vote to remove office

holders between elections.

Local Governments

More individualized than state governments

Most office-holders are part-time. Immediacy of issues: health and

safety, education, jobs and economic vitality, zoning.

Stuff of every day living

Charters

Dillon’s Rule (1868) Court ruling that

local governments do not have any inherent sovereignty but instead must be authorized by state government

Charter Document that, like a

constitution, specifies the basic policies, procedures, and institutions of a municipality Special General Classified Optional Home Rule

Types of Local Governments Counties

Geographic district created within a state with a government that has general responsibilities for land, welfare, environment and sometimes rural service policies

Towns Five states in Midwest refer to towns as a form of government in which

everyone in a community is invited to an annual meeting to elect officers, adopt ordinances, and pass budgets.

Municipalities Government with general responsibilities, such as city, town or village

government, that is created in response to the emergence of relatively densely populated areas

Special district Most numerous form of local government; local government with

particular function, e.g. water, parks

Executives and Legislatures

Local governments may have An elected executive An elected council or commission An appointed manager

Not always bound by separation of powers or checks and balances

Impact of the Civil War Role of the Progressives

Destruction of party machines led to minimization of politics; more management (i.e. managers instead of elected executives)

Executives and Legislatures Between 1984 and 2002:

Trend away from council-manager form of city government toward the mayor-council form

Now half of U.S. cities have an elected mayor and council.

Slightly more than 1/3 of the municipalities have the Progressive model of government. Professional manager and an elected city council Most common among medium-sized cities

Some have both mayors and managers. School districts follow the council-manager model. Other special districts have boards.

Sometimes called public corporations or authorities

Grassroots Power and Politics

Participation more personal and more issue-oriented than at the national level

Non-partisan elections A contest in which candidates run without formal

identification or association with a political party

Local news media Key role

Elite families Ad hoc-issue specific organizations

Relations with Indian Tribes Treaties between American Indian Nations and federal government

Affect 34 states Legal status of various tribes: domestic dependent nation

Sovereignty that makes an Indian tribe in the U.S. outside the authority of state government but reliant on the federal government for the definition of tribal authority

Trust relationship: federal government obligated to protect Indian interests Policy approach of federal government toward Native Americans has

varied widely over time From relocation, assimilation, to abandonment (which led to protests)

and the return to the model of respect of tribal customs and promotion of economic self-determination

States are not parties to these treaties and have no direct legal authority over tribes. Compacts

Reservation land Trust land Move to incorporate written constitutions into tribal governance

State and Local Finances

State and local governments must balance their budgets.

Budgeting process Making projections of expenses and revenues

State of the economy Level of funding that governments give to one

another Funding to states from D.C. has varied Local governments get less (water & sewerage)

Most of their money from the state

State and Local Finances Federal funding for state and local government generally

declining. Increase in requirement of state spending to support national

programs and concerns Security costs

Taxes and fees vary across states Rely equally on income and sales taxes Some have no sales taxes; some have double digit sales taxes Some have no income tax Tax increases generally bode ill for elected officials at the state

level Local governments rely on property taxes, particularly schools

Segregated funds: money that comes in from a certain tax or fee and then is restricted to a specific use, such as a gasoline tax that is used for road maintenance

State and Local Finances

Progressive Tax Tax level increases with the wealth or ability

of an individual or business to pay

Regressive Tax Tax level increases as the wealth or ability

of an individual or business to pay decreases