Objectives for Week Two Establish basic definitions Establish basic definitions Institutional foundations of the American federal system Institutional foundations of the American federal system Key features of federal governance and intergovernmental relationships Key features of federal governance and intergovernmental relationships Faction and political conflict Faction and political conflict

Unitary System of Government Central government has supreme power over all territorial divisions (i.e., subnational gov’t) within the nation Central government has supreme power over all territorial divisions (i.e., subnational gov’t) within the nation Autonomy of subnational gov’t is limited by how governmental powers are delegated Autonomy of subnational gov’t is limited by how governmental powers are delegated Examples: Japan, France, Great Britain Examples: Japan, France, Great Britain

Federal System of Government Power is divided between the national government and subnational governments Power is divided between the national government and subnational governments Written Constitution defines structure, power- sharing arrangements, and procedures for resolving conflict Written Constitution defines structure, power- sharing arrangements, and procedures for resolving conflict Examples: Japan, Germany, Australia, Brazil, Canada, Mexico, former USSR Examples: Japan, Germany, Australia, Brazil, Canada, Mexico, former USSR

Federalism Federalism is the “relationship between a central government and lower units of that government,” where “the central government and the lower units exercise independent authority within their own jurisdictions.”

Federalism “Designating a form of government in which a union of states recognizes the sovereignty of a central authority while retaining certain residual powers of government.”

Daniel Elazar’s Definition of Federalism “Federalism can be defined as the mode of political organization that unites smaller polities in an overarching political system by distributing power among general and constituent governments in a manner designed to protect the existence and authority of both.”

Key Characteristics of a Federal System Duality in governance and in citizenship Duality in governance and in citizenship Defines the legal powers, formal duties/actions, processes to be followed Defines the legal powers, formal duties/actions, processes to be followed Autonomy of subnational government Autonomy of subnational government Note: Federalism is a means, not an end Note: Federalism is a means, not an end

Intergovernmental Relations “An important body of activities or interactions occurring between governmental units of all types and levels within the federal system.” “An important body of activities or interactions occurring between governmental units of all types and levels within the federal system.”

Intergovernmental Relations The complex, interdependent interactions between different levels of government that determine their relative powers, responsibilities, roles, and areas of discretion and that are necessary to implement or exercise this legitimate governmental authority.

Intergovernmental Institutional Features of Federal Systems Assign Responsibility Assign Responsibility Determine Accountability and Performance Determine Accountability and Performance Define Participation Define Participation Degree to Which National Interest or Will Can be Imposed Degree to Which National Interest or Will Can be Imposed Regulate the Flow of Information, Capital, and Population Regulate the Flow of Information, Capital, and Population

Discussion Questions What are the advantages of a federal system or decentralized institutional approach? What are the advantages of a federal system or decentralized institutional approach? What are the disadvantages of a federal system? What are the disadvantages of a federal system? Which advantage/disadvantage is most important in your mind? Which advantage/disadvantage is most important in your mind? How might the advantages and disadvantages of a decentralized system change over time? How might the advantages and disadvantages of a decentralized system change over time?

Models of Federalism Competitive Models of Federalism Interdependent Models of Federalism Assigning Responsibility Accountability & Performance Flow of Information, Capital, and Pop’n Implications for Democracy

Salamon: Tools of Government Why is Salamon relevant to our discussion? Why is Salamon relevant to our discussion? How do the following characteristics of a given tool relate to concepts/theories of federalism and intergovernmental relationships? How do the following characteristics of a given tool relate to concepts/theories of federalism and intergovernmental relationships? Coerciveness Coerciveness Directness Directness Automaticity Automaticity Visibility Visibility

Players in Federal System Congress Congress Executive Branch Executive Branch Judicial System Judicial System Governors/State Legislatures Governors/State Legislatures Entrepreneurs Elites Political Parties Mediating Organizations

Types of IG Interactions Legislation Legislation Executive Orders Executive Orders Court Decisions Court Decisions Regulatory Activity Regulatory Activity Lobbying Lobbying Platforms & Positions Platforms & Positions Elections & Campaigns Elections & Campaigns Hearings IG Aid and Tax Code Administrative Discretion Coordinated Implementation Debate Over Issues and Symbols

Factors Shaping the Balance of IGRS? Economic Conditions Economic Conditions Demographic Trends Demographic Trends Institutional Capacity Institutional Capacity Past IGRs Past IGRs Incentives for Activity Incentives for Activity Public Opinion Public Opinion Crises or Focusing Events Crises or Focusing Events

Majority and Minority Conflict in a Federal System Mediating the “dangers of faction” Mediating the “dangers of faction” Checks and balances Checks and balances Heterogeneity Heterogeneity Multiple access points Multiple access points Redefining the “scope of conflict” Redefining the “scope of conflict” Change the substance of debate Change the substance of debate Change the nature of the participants Change the nature of the participants

Meaning for Public Administration Structure of governmental system matters Structure of governmental system matters Incentives, monitoring, discretion, types of policies and tools that arise, coordination problems Incentives, monitoring, discretion, types of policies and tools that arise, coordination problems IGR Policy is a balancing act IGR Policy is a balancing act Success means being able to navigate complexities of system Success means being able to navigate complexities of system Impact of heterogeneity in a decentralized system Impact of heterogeneity in a decentralized system

Readings for Next Week: Chapters Three through Six, The Rebirth of Federalism, Walker (pp )