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Article

Federalism and LGBT Politics and Policy in the United States  

Jami K. Taylor, Donald P. Haider-Markel, and Daniel C. Lewis

The LGBT policymaking process in the United States is fragmented and LGBT citizens face different policy contexts depending on which local government and state they reside in. With a lack of national consensus on LGBT rights and the country’s federal political system, which allows states to have substantial policymaking authority, policymakers have created a diverse and decentralized set of policies. Indeed, this governmental system significantly shapes the opportunity structure for the adoption of LGBT inclusive policy. It allows for remarkable LGBT rights advances in some states and localities, but little to no progress in others. States in the Northeast and on the West Coast tend to have more LGBT inclusive policies than those in the South or Midwest. In some instances, localities in states that lack inclusive policies engage in compensatory policymaking to provide added LGBT protections. However, the ability of localities to do this is shaped by state law concerning home rule authority and whether the state legislature has decided to proscribe such action. When trying to advance LGBT rights policy, advocates must venue-shop for favorable policymaking circumstances. Favorable circumstances commonly include institutional control by Democrats or municipalities with greater diversity, higher education levels, and more people engaged in management, business, science, and arts occupations. Opponents to LGBT rights are engaged in venue-shopping as well, but they normally hold the defensive advantage of maintaining the status quo. Both proponents and opponents of LGBT rights have used the court systems of states and the national government to shape LGBT rights related policy.

Article

Mapp v. Ohio, the Exclusionary Rule, and Constitutional Judicial Review  

Morgan Cloud

Mapp v. Ohio is the US Supreme Court opinion that imposed the Fourth Amendment exclusionary rule on the states. Mapp overruled earlier cases by holding that evidence obtained by unreasonable government searches and seizures was not admissible in state or local criminal prosecutions, just as it had long been inadmissible in federal cases. It is hard to overstate the impact of this decision, which changed the rules and procedures both for policing and for litigation in criminal cases throughout the United States. But Mapp’s significance extends beyond its specific holding. It adopted an interpretive method, often labeled “selective incorporation,” employed by the Supreme Court in subsequent decisions, that imposed specific provisions contained in the Bill of Rights, the first eight amendments to the Constitution upon the states. These decisions redefined federalism in the United States by establishing federal authority over government actions previously governed by state law. In the realm of search and seizure law, by requiring states to adhere to the Supreme Court’s search and seizure opinions, Mapp also generated potent political and legal opposition. In subsequent opinions the Supreme Court limited the exclusionary rule’s scope, diluting Mapp’s impact on police practices by reducing the situations in which federal constitutional rules required exclusion of evidence.

Article

The Evolution of Same-Sex Marriage Policy in the United States  

Sarah Poggione

On June 26, 2015, the U.S. Supreme Court determined that same-sex couples have the right to marry, and newspapers across the country declared that gay couples could now exercise this right in all 50 states. While the Obergefell decision was an important moment in history and a significant victory for the LGBT movement, it was not an immediate and complete change in policy. Rather, the change emerged slowly over decades from numerous complex interactions among federal, state, and local governmental actors. These same actors continue to influence marriage equality even after the Supreme Court’s historic ruling. A careful consideration of the path of marriage equality demonstrates the importance of federalism in the evolution of policy in the U.S. context. Not only does the extent of federal involvement influence state decision-making, but state policies also respond to the policymaking processes in other states. Examining the progression of marriage rights for same-sex couples also illustrates how variation in state government institutions shape policy outcomes in the U.S. system. For example, aspects of state courts such as judicial capacity influence the nature of state policy responses on the issue of gay marriage. Finally, focusing on marriage equality provides an opportunity to consider how institutions of government and political actors strategically interact to influence the policymaking process. For example, advocacy coalitions make strategic choices to focus on levels and institutions of government that are more responsive to their interests. Overall, same-sex marriage policy and the scholarship that investigates it highlight the complex and sometimes convoluted development that characterizes the policymaking process on many important issues in American politics and society.

Article

Theoretical Perspectives on Subnational Public Policy and LGBT Law  

Jason Pierceson

Subnational policymaking is central to LGBT politics and law, in contrast to other arenas of policymaking for marginalized groups. With barriers to national policymaking in Congress and in the federal courts, LGBT rights activists have leveraged opportunities at the state and local levels to create LGBT-supportive policies. Opponents have also used subnational politics to further their agenda, particularly direct democracy, while LGBT rights activists have used elite politics, such as state courts, effectively. Subnational LGBT politics is also marked by a significant variety in policy outcomes, with a notable urban and suburban versus rural divide in policymaking and in the presence of openly LGBT elected officials. The case of LGBT policy and law has caused scholars to rethink questions such as the role of public opinion in state policymaking, morality politics, and courts and social change.

Article

Future Scenarios of the European Union  

Brigid Laffan

Debate on the future of the European Union (EU) never abates because the Union is a polity characterized by considerable change in its internal and external environment. Scenarios are an important tool in mapping possible futures for the Union as they bring underlying trends into focus. Four scenarios on the future of the EU are presented: disintegration, piecemeal adjustment, functional federalism, and a United States of Europe. The political and policy battle concerning the future of the Union is between scenario piecemeal adjustment, the dominant response to the crisis and to events on Europe’s borders, and functional federalism, defined as more integration but in defined fields. Piecemeal adjustment represents a Union that muddles through, incremental reform, whereas functional federalism represents a Union that garners sufficient political capacity to be more strategic in particular functional areas. Systemic disintegration is regarded as unlikely, but partial disintegration may occur because of the exit of the United Kingdom, challenges to a number of EU regimes, and the threats to the Union’s normative order from some member states. A united states of Europe, is highly unlikely as the member states are not in favor of transforming the Union into a state-like federation. The degree of contestation about the future of the EU precludes a transformation of the system at this juncture. Three intervening factors will have a major impact on the future of the EU: the profound changes in the global environment, turbulent politics in the member states, and the Franco-German relationship as a source of leadership in the Union.

Article

Spain and the European Union  

Arantza Gomez Arana

The development of political and economic relations between Spain and the European Union commenced in 1970 with their first agreement and demonstrated the clear interest on the Spanish side to engage with this new Community. The full membership to the then European Community that took place in 1986, was previously supported by the Spanish political class when the country returned to democracy. In the more than three decades of membership, Spain has become the border of Europe in a key geopolitical part of the continent. It has contributed to the development of several Justice and Home Affairs measures and it has helped to the development of European external relations with other countries. Thirty-four years after joining the Community, history has demonstrated that Europhilia is still more important than any unintended consequences developed with the membership, including the Eurocrisis. Its roots could be found in Spain’s recent political and economic history, where isolationism and impoverishment dominated the country for most of the 20th century and the option of joining the Community was seen as a positive move against their political and economic problems. The membership has provided stability in some Spanish political and economic matters, but has not fully resolved the long-term and structural problems that this Iberian country suffers from. However, throughout this journey, Spain has held to a pro-EU sentiment, even in recent times, while other EU countries suffer from high levels of Euroscepticism. This chapter argues that despite some of the negative consequences of joining the European Union, Spain’s recent history has been too significant to transform its Europhilia into Europhobia.

Article

Subsidiarity as a Subject of Battle in European Union Politics  

Kees van Kersbergen and Bertjan Verbeek

Since the Maastricht Treaty (1993), subsidiarity has guided the political process surrounding the distribution of competences between administrative layers in the European Union (EU). The EU’s subsidiarity regime affects the politics and governance of the EU, because the notion of subsidiarity allows for continuous negotiation over its practical use. The constant battle over subsidiarity implies that the notion changes its meaning over time and alters the power relations between different actors within the EU. Since the Lisbon Treaty (2009), subsidiarity has mainly strengthened the position of member states at the expense of the Commission.

Article

Politometrics: Quantitative Models of Political Institutions  

Josep M. Colomer

Logical models and statistical techniques have been used for measuring political and institutional variables, quantifying and explaining the relationships between them, testing theories, and evaluating institutional and policy alternatives. A number of cumulative and complementary findings refer to major institutional features of a political process of decision-making: from the size of the assembly to the territorial structure of the country, the electoral system, the number of parties in the assembly and in the government, the government’s duration, and the degree of policy instability. Mathematical equations based on sound theory are validated by empirical tests and can predict precise observations.

Article

Public Opinion and Public Support in Crisis Management  

Zoe Ang, Benjamin S. Noble, and Andrew Reeves

In times of crisis, citizens look to their leaders for aid and assistance. In the democratic context, the focal figure is likely the chief executive accountable to the whole of the nation. With a specific focus on the American president and the incidences of natural hazards, public opinion and governmental response to these crises are analyzed. While one may expect such a universal actor to aid each according to their need, new scholarship finds that voter behavior and electoral institutions incentivize the president to support only a small slice of the electorate. Empowered by federal disaster relief legislation in the 1950s, the president targets electorally valuable voters when disbursing aid or allocating resources in response to disaster damage. Voters in those areas respond myopically and tend to vote for the incumbent for reasons ranging from economic to emotional. Thus, elites anticipate voter reactions and strategically respond to disasters to mitigate blame or punishment for the event and capitalize on an opportunity for electoral gains.

Article

Federalism  

Alison L. LaCroix

Federalism refers to the constitutional and political structure of the United States of America, according to which political power is divided among multiple levels of government: the national level of government (also referred to as the “federal” or “general” government) and that of the states. It is a multilayered system of government that reserves some powers to component entities while also establishing an overarching level of government with a specified domain of authority. The structures of federalism are set forth in the Constitution of the United States, although some related ideas and practices predated the founding period and others have developed since. The balance between federal and state power has shifted throughout U.S. history, with assertions of broad national power meeting challenges from supporters of states’ rights and state sovereignty. Federalism is a fundamental value of the American political system, and it has been a controversial political and legal question since the founding period.

Article

Intergovernmental Relations in Latin America: Determinants and Dynamics  

Julieta Suarez-Cao

Intergovernmental relations in Latin America present a varied sample of both institutional determinants and actual dynamics. Constitutional structures regulate whether countries have a federal or a unitary system of territorial distribution of power and stipulate the territorial levels of government. Thus, constitutions structure the number of vertical and horizontal intergovernmental relations. Actual dynamics, however, depend on policy prerogatives that establish subnational authority vis-à-vis the national administration. These prerogatives, usually understood in terms of power, responsibilities, and resources, shape the territorial balance of power within a country. Power, responsibilities, and resources can be combined to apprehend the degree of authority in the hands of regional governments. Such authority is analytically organized into two dimensions: the regional power of self-rule and the power to share rule with national decision makers. This distinction helps to explain that the trend toward increasing regional authority is mostly a product of decentralization and devolution politics that have enhanced self-rule, rather than reforms that advance the shared rule dimension. Nevertheless, neither constitutional structures nor new regional policy prerogatives are the only determinants of the dynamics of intergovernmental relations. Informal institutions, such as subnational coalitions and local political clientelism, are particularly relevant to understanding the actual balance of power between national and subnational governments and among subnational arenas.

Article

Devolution, Regional and Peripheral Nationalism  

André Lecours

Social science scholars have repeatedly predicted the demise of regional (or peripheral) nationalism, from the late nineteenth century to the post-World War II period and in the 1990s. However, all suggestions about the death of regional nationalism have been proven wrong. On the contrary, nationalist movements in the West have not only survived advanced capitalist development in liberal democratic contexts but have thrived as well. In the developing world, decolonization gave rise to a variety of regional nationalist movements that frequently spiraled into violent conflict and secessionist attempts. To deal with regional nationalism, states often turned to devolution, resulting in the implementation of various schemes of autonomy, most of which came under the guise of federalism. Three trends characterize the literature on regional nationalism and its management through devolution: a change in the way regional nationalism is viewed; a transformation in the type of political, institutional, and constitutional response scholars have suggested toward regional nationalism; and a willingness to accept, or even favor, secession as a possible solution to conflict in multinational and/or multiethnic countries. At the same time, there are at least two challenges in the study of regional nationalism and its management: objectivity and the need to develop a greater comparative perspective.

Article

Federalism and Regional Autonomy  

Dejan Guzina

Federalism refers to the compound mode of government, combining a general government (the central or “federal” government) with regional governments (provincial, state, cantonal, territorial, or other sub-unit governments) in a single political system. Its distinctive feature is a relationship of parity between the two levels of government established, as exemplified in the founding of modern federalism of the United States of America under the 1787 Constitution. Federalism differs from confederalism, in which the general level of government is subordinate to the regional level, and from devolution within a unitary state, in which the regional level of government is subordinate to the general level. Instead, federalism represents the central form of the pathway of regional integration or separation. Leading examples of the federation or federal state include the Russian Federation, the United States, USSR, Canada, Mexico, Brazil, Germany, Switzerland, Australia, and India. Some also characterize the European Union as the pioneering example of federalism in a multi-state setting—a concept termed the federal union of states. Traditionally, federalism was defined as a simple league or inter-governmental relationship among sovereign states based upon a treaty. Whereas modern federalism is a system based upon democratic rules and institutions in which the power to govern is shared between national and provincial/state governments.

Article

Economics of Environmental Compliance and Enforcement  

Wayne Gray and Ronald Shadbegian

Enforcement activity by regulators plays an important and sometimes underappreciated role in the effectiveness of environmental regulation by encouraging regulated entities to comply. Nearly all ex ante cost-benefit analyses assume 100% compliance with regulation. One notable exception is the U.S. Environmental Protection Agency’s 2008 lead renovation rule in which a 75% compliance rate was assumed when estimating the ex ante benefits and costs, based on the literature regarding compliance rates in the construction sector. Why do entities comply with environmental regulation? Economists typically use deterrence models to explain the incentives for compliance. They began with simple models that used the frequency of inspections and the size of penalties to calculate the expected cost of noncompliance, but the models have since become more sophisticated along several dimensions. Dynamic penalty strategies by regulators can significantly increase the cost of being labeled a serious violator. Stochastic fluctuations in pollution levels with regular self-reporting requirements can lead firms to over-comply on average to avoid the risk of reporting violations. Inspections and enforcement actions at one facility can have general deterrence impacts at other facilities nearby as well as a specific deterrence impact at the inspected facility. Violations and penalties may impose additional costs on firms in terms of loss of reputation and pushback from customers and people living nearby. These differences in reputational costs may help explain observed heterogeneity in compliance behavior by firms. Compliance and enforcement behaviors are also affected by the institutional, legal, and scientific context in which they occur. Even with regulations set at the national level, enforcement activity is often carried out at the sub-national level, with the possibility of considerable heterogeneity across jurisdictions in terms of enforcement stringency. This is most obvious in federal countries such as the United States, where enforcement responsibilities for many regulations are delegated to state agencies, and with supra-national regulatory systems such as the European Union, where national agencies are responsible for enforcing regulations. It can also arise in a large country, where even a strong central government may have difficulty ensuring similar enforcement behavior in different regions. Empirical research also developed over time, initially testing whether enforcement activity affected compliance, then testing for heterogeneous impacts across different firms or different enforcement tools, then moving to more robust research designs. Variations in enforcement intensity have also been used to proxy for overall regulatory stringency in empirical studies of the economic impact of environmental regulation.

Article

Legal System  

Robert G. Madden

The law is a powerful force in all aspects of contemporary U.S. society. The legal system furnishes the context and procedures for the creation and enforcement of laws to resolve disputes, to protect rights, and generally to maintain order. Social workers are expected to understand the basic workings of the legal system generally, in addition to having knowledge of specific laws relevant to their area of practice. Knowledge of the legal system provides the foundation to support social workers to undertake social justice initiatives, to give voice to vulnerable client populations, and to work for legal rules that support good social work practice and positive outcomes for the clients and communities served.

Article

Natural Hazards Governance in Democratic States With Developed Economies  

Patrick S. Roberts

Natural hazards have evolved from being the responsibility of subnational governments—if the government intervened all—to become a core function of national governments. The cost of disaster losses has increased over time in states with developed economies, even as fewer lives are lost. Increasing losses are caused by an increasing number of extreme weather events, which wreak havoc on urbanizing populations that build expensive structures in vulnerable locations. Hazards governance attempts to use political and organizational tools to mitigate or prevent damage and bounce back when disasters occur. In large and developed states, authority for hazards governance is fragmented across levels of government, as well as the private sector, which controls much of the infrastructure and property that is subject to losses. The political consequences of disaster losses are mixed and depend on contextual factors: sometimes politicians, government agencies, and nonprofit and voluntary organizations are blamed for failures on their watch, and sometimes they are rewarded for coming to the rescue. The study of disasters has become more interdisciplinary over time as scholars seek to integrate the study of natural hazards with socio-political systems. The future of hazards governance research lies in improving understanding of how to manage multiple, overlapping risks over a period of time beyond next election cycle, and across levels of government and the private sector.

Article

Fiscal Implications of Managing Natural Disasters for National and Subnational Governments  

Qing Miao

Natural disasters cause massive social disruptions and can lead to tremendous economic and human losses. Given their uncertain and destructive nature, disasters invariably induce significant governmental responses and typically pose severe financial challenges for jurisdictions across all levels of government. From a public finance perspective, disasters cause governments to incur additional spending on various emergency management activities, and by disrupting normal business activities they also affect tax base robustness and cause revenue losses. The question is: How significant are these fiscal effects and how do they affect hazards governance more generally? Understanding the fiscal implications of natural disasters is essential to evaluating the size of the economic costs of disasters as well as forecasting governments’ financial exposure to future shocks. Furthermore, how disaster costs are shared among different levels of government is another important question concerning the intergovernmental dynamics of disaster management. In the US federal system, the direct fiscal costs of natural disasters (i.e., increased government expenditures due to disaster shocks) are largely borne by the federal government. It is estimated that Hurricane Katrina cost the federal government approximately $120 billion while Hurricane Sandy cost $60 billion. Even in the years without large-scale disaster events, federal disaster spending is between $2 billion and $6 billion annually. Under the Stafford Act, the federal government plays a critical role in funding disaster-related programs (e.g., direct relief, mitigation grants, and subsidized insurance programs) and redistributing the actual costs of natural hazards, meaning that a considerable portion of the local disaster burden is shifted to all US taxpayers. This raises a set of issues concerning the equity and efficiency of the US disaster policy framework. Managing disasters involves multiphased activities to mitigate, prepare for, respond to, and recover from disaster shocks. There is a common belief that the federal government inappropriately spends far more on ex post disaster response, relief, and recovery than what it spends on ex ante mitigation and preparedness, often driven by political motivations (e.g., meeting voters’ preferences for postdisaster aid) and the current budget rules. As pointed out by many others, federal disaster relief and assistance distort the subnational incentive to invest in local disaster prevention and mitigation efforts. Furthermore, given the mounting evidence on the cost-effectiveness of disaster mitigation programs in reducing future disaster damages, the current practice of focusing resources on postdisaster assistance means substantial public welfare losses. In recent years there has been a call for the federal government to shift its disaster policy emphasis toward mitigation and preparedness and also to facilitate local efforts on mitigation. To achieve the goal requires a comprehensive reform in government budgeting for emergency management.

Article

Temporary Assistance for Needy Families  

Vincent A. Fusaro

Temporary Assistance for Needy Families (TANF) is a federal block grant program with a state contribution requirement that supports the provision of state aid to low-income families with children in the United States, including but not limited to cash assistance. Created by the 1996 welfare reform law, which ended entitlement to cash benefits under TANF’s predecessor Aid to Families with Dependent Children, TANF cash aid includes time limits and work requirements. States are also free to set their own program rules and may use funds for purposes other than direct poverty relief and services for cash assistance clients. Consequently, TANF varies widely across states in generosity of benefits, behavioral rules to which clients must adhere, and in the uses of program resources, with only about one-quarter of all state and federal TANF funds used for traditional cash assistance. Other priorities funded under TANF include work supports and child care, programming to promote two-parent families, refundable tax credits, and support of state child welfare systems. The end of entitlement to cash assistance under TANF was associated with a sharp decline in welfare caseloads and increases in employment in single-mother families nationwide. The initial implementation of TANF also coincided with a boom economy in the mid- to late-1990s and was immediately preceded by a large expansion of the Earned Income Tax Credit for low-wage workers. Studies disagree on the relative role each of these factors played in both caseload and employment trends, and women who moved off of welfare and into the labor force are often in unstable, low-paying jobs. The defining characteristic of cash-assistance receiving families is deep economic deprivation, and benefits do not bring a household above official income poverty in any state. In most states, they do not even bring a family to 50% of poverty. Cash assistance under TANF nonetheless remains an important backstop for families in extremely difficult circumstances.

Article

Federalism as a Theory of Regional Integration  

Søren Dosenrode

Federations have existed in a modern form since the constitution of the United States entered into force in 1789. Riker defines a federation as follows (1975, p. 101) “a political organization in which the activities of government are divided between regional governments and a central government in such a way that each kind of government has some activity on which it makes final decision.” The process of getting to the federation, the integration process, is best described as federalism. There is some agreement on the core of what a federation is, and some disagreement over whether to apply the term “federation” strictly to states and state-like actors or in a broader sense. Federations are concrete ways to organize government, but in many writings, they are also given positive attributes, such as enhanced democracy and efficiency, too. There are two ways to think about federalism: as a politico-ideological theory of action and as an academic theory of regional integration. The first theory is propagated by writers such as Richard Coudenhove-Kalergi, Jean Monnet, and Altiero Spinelli. This theory is of political rather than academic interest. Academic theories of regional integration are divided into two groups, following the common practice in international relations theory: liberal theories (by far the largest group) and realist theories. Federalism theory as a theory of regional integration was abandoned too early because, inter alia, it had been linked to the development of the European Community, which was in crisis from the mid-1970s till the mid-1980s. This was a mistake. Federalism theory provides the scholar with at least two tools. First, under the title “federation,” it introduces a large number of theories, methods, and empirical studies on how to analyze the European Union and other regional integration projects. Second, as a federalism theory, especially in the realist or the Riker-McKayian version, it provides a theory of how countries may unite peacefully. This approach must be developed in terms of (a) the concept of threat, which must be broadened to include economic, social, and cultural elements, and (b) the role of a basic common culture, which primarily facilitates the founding of the federation and constitutes the foundation securing the maintenance of the new federation. A brief analysis of the development of today’s European Union, following the realist approach, demonstrates that, broadly speaking, a correspondence exists between threat and the integration process: In times of threat, the process of integration and federalization advances; in periods of peace and no crisis, the integration process stagnates.

Article

Belgium and the European Union  

Edith Drieskens

Belgium is one of the six founding members of European integration, but it is often seen as a special one. In both policy and research, the country is widely known as the “heart of Europe.” It even sells itself to the outside world in this way. This metaphor has a double meaning, a literal and a figurative one. First, Belgium’s capital, Brussels, qualifies as the unofficial capital of the European Union. This meaning is strongly supported by facts, with the city hosting the most numerous and the most important institutions. The second meaning requires more detailed consideration. Indeed, and second, Belgium is perceived to be the most European of all European countries, even prepared to exchange sovereignty for supranationalism at any time and any price. A closer look at data, decisions, and developments shows, however, that while support for European integration is widespread, it is not omnipresent either in time or in place. Particularly in Flanders, the northern part of the country, support has been less obvious than elsewhere. Indeed, to understand Belgium and/in the European Union, one also has to understand the functioning of Belgium as a federal state composed of communities and regions, thus as a system of multilevel governance. While it is not the only federation among European Union member states, it uniquely combines a wide variety of federal characteristics. Most importantly here, the gradual process of federalization that Belgium has experienced has given the federated entities a strong voice in European Union decision-making. Member states still need to speak with one voice, however, resulting in a complex system of coordination and representation. The possibilities and realities of this system have attracted quite a lot of scholarly interest. The same goes for the rather fundamental question of whether the European Union and federated entities should be seen as unintended partners in the hollowing out of the federal state or whether the opposite holds true and the European Union is coming to Belgium’s rescue. The jury is still out on this, though the answer seems to be growing more and more complex as time passes.