GOVT 706/ PUAD 750 SEMINAR ON FEDERALISM AND INTERGOVERNMENTAL RELATIONS Spring 2018 FH 468 Dr. Timothy Conlan Office Hours: Research 328 Mon/Wed 1:30 2:45 Phone: 703-993-1427 Thur 7:00-7:30 (in Arl) email: tconlan@gmu.edu Course Description: This course is a graduate level survey of intergovernmental issues in politics and governance. Specific topics to be explored include: theories and controversies concerning the appropriate roles of different levels of government, the intergovernmental context of policy making and service delivery in the United States, the evolution and performance of the American federal system, aspects of comparative federalism, and the politics of intergovernmental reform. Course Structure: The course will be conducted as a graduate seminar. Its success will depend on active and informed participation by everyone in the course. All participants will be expected to read and analyze each week's readings, and all students should expect to be called on in the course of class discussions. In addition, there will be an opportunity for discussion of individual research topics and assigned oral presentations. Learning Objectives: This course is designed to enable students to master or become familiar with: 1) Major theories political, philosophical, economic, and administrative concerning the advantages and disadvantages of a federal form of government. 2) Theoretical rationales and empirical evidence concerning the assignment of functions among various levels of government in multi-level systems. 3) The historical development and evolution of the U.S. federal system. 4) The challenges of intergovernmental policy making and implementation in the United States. 5) The fiscal, regulatory, and judicial contours of contemporary American federalism and their implications for intergovernmental relations; and 6) Approaches to and prospects for intergovernmental reform in American federalism. Required Texts: This course is cross-listed in both Political Science and Public Administration, and the subject matter reflects both disciplines. It is also designed to accommodate both doctoral and masters level students, with requirements that vary accordingly. Doctoral students are expected to read all of the required material indicated for each week, including some additional readings which are marked phd. They may also wish to read some or all of the recommended readings in order to explore certain topics in greater depth. MA, MPP, and MPA students are required to read all assignments except those marked phd (although they are encouraged to at least skim those as well). The following books are available for purchase at the University s Arlington campus bookstore. They will be supplemented by articles and readings available through library
databases or on the course blackboard page. Collectively, the readings are intended to serve several complementary purposes: to give a descriptive and analytical overview of contemporary intergovernmental issues; to provide a modicum of historical and comparative perspective on key issues; to highlight influential analytical frameworks; to illustrate alternative models of research design and methodology; and to draw upon a variety of different sources of information and analysis. Conlan, Posner, and Regan, eds., Governing Under Stress: The Implementation of Obama s Economic Stimulus Program (Georgetown, 2016) Rodden, Jonathan, Hamilton s Paradox (Cambridge, 2005). Miller and Cox, Governing the Metropolitan Region (ME Sharpe, 2014). O Toole and Christensen, American Intergovernmental Relations, 5 th ed. (CQ 2013). Robertson, David, Federalism and the Making of America, 2 nd ed. (Routledge, 2017). Ebel and Petersen, Oxford Handbook of State and Local Finance (OUP, 2012). Stephens and Wikstrom, American Intergovernmental Relations (OUP 2007). Written Assignments: For doctoral students, the written requirements for this seminar include three short papers, a take-home midterm exam, and one major research paper. Two of the short papers will consist of brief, 3-5 page analyses of a week's assigned readings. These will typically be structured around debates or controversies in the field, with different authors presenting alternative views. Topics will be selected during the first class. Each analysis will be summarized and orally presented during the appropriate class. Another short paper will be a critique of two or more draft research papers prepared by your colleagues in this seminar. Masters-level students will be expected to prepare only one weekly analysis, the draft paper critique, along with the midterm exam and research paper. Each seminar participant will also prepare a more detailed research paper (25-40 pp for PhD candidates, 15-20pp for MA/MPA students) which utilizes an appropriate methodology to analyze an intergovernmental program or issue of interest to the student. Students will exchange and critique drafts of each other's papers prior to final submission of the paper for a course grade. Such critiques will constitute the final short paper assignment for all students. Course evaluation: Final grades for this course will be based on general class participation and oral presentations (15%); short written assignments (20%); take home midterm (25%) and the major intergovernmental research paper (40%).
Class Schedule: THE CONTEXT OF FEDERAL GOVERNANCE (Jan 25) An Introduction to Federalism John Kincaid, Introduction to Handbook of Federal Countries, at http://www.forumfed.org/libdocs/fedcountries/fc-int-kincaid.pdf Pietro Nivola, Why Federalism Matters, Policy Brief # 146, (Brookings Institution, October 2005) 1 David Robertson, Federalism and the Making of America, chap. 1. (Feb 1) Theoretical Perspectives on Federalism: Beam, Conlan, and Walker, "Federalism: The Challenge of Conflicting Theories and Contemporary Practice," in Political Science: The State of the Discipline, Ada Finifter, ed. (American Political Science Association, 1983), pp. 253-264. 1 Edward Rubin and Malcolm Feeley, Federalism and Interpretation, Publius vol 38:2 (Spring 2008): pp.167-191. Samuel Beer, et. al., Responses to Rubin and Feeley, Publius 38 (2): pp. 192-210. Rodden, Hamilton s Paradox, chap. 1. Wallace Oates, "An Economic Approach to Federalism" in Fiscal Federalism (Harcourt Brace, 1972). 1 Liesbet Hooghe and Gary Marks, Unraveling the Central State, but How? Types of Multi-level Governance, APSR 97 (May 2003): 233. phd Robert Inman and Daniel Rubinfeld, Rethinking Federalism, Journal of Economic Perspectives 11:4 (1997): 43-64. phd Ron Watts, Federalism, Federal Political Systems, and Federations, Annual Review of. Polit. Sci. 1998. 1:117-37. 1 Wallace E. Oates, Toward A Second-Generation Theory of Fiscal Federalism, International Tax and Public Finance 12 (2005): 349 373. 1 Link available on course blackboard page.
(Feb 8) The Theory and Early Development of American Federalism Robertson, chaps 2-3. Madison, Federalist 39 and Martin Diamond, What the Framers meant by Federalism, in O Toole, pp. 90-105. Daniel Elazar, Federal-State Cooperation in the 19 th Century United States, Political Science Quarterly 79 (June 1964): 248-81. PhD Harry Scheiber, The Condition of American Federalism: An Historian s View, [excerpts from congressional testimony]. 1PhD Samuel Beer, The Modernization of American Federalism, Publius 3(Autumn 1973), pp 49-69. Harry Scheiber, Federalism and the American Economic Order, Legal Process: 1789-7- 1910 Law and Society Review 10 (1975): 57-110. Samuel Beer, Federalism, Nationalism, and Democracy, APSR. 72 (1978): 9-21. PhD (Feb 16) Dynamics of Centralization: American Federalism in the 20 th Century Samuel Beer, The Modernization of American Federalism, Publius 3(Autumn 1973), pp 69-95. Ballard C. Campbell, Federalism, State Action, and "Critical Episodes" in the Growth of American Government, Social Science History, Vol. 16, No. 4 (Winter, 1992), pp. 561-577. PhD Robertson, chaps 4-9. Richard Nathan, Updating Theories of American Federalism, in Conlan and Posner, eds. Intergovernmental Management for the 21st Century, pp. 13-25. 1PhD Morton Grodzins, The American System (Rand McNally, 1966) Timothy Conlan, Whiplash: American Federalism in the Age of Obama, Revue Française de Science Politique 64:2 (April 2014), 221-244. 1 Kimberly Johnson, Governing the American State: Congress and the New Federalism,
1877-1929 (Princeton University Press, 2007). Ann O M Bowman and George A Krause, Power Shift: Measuring Policy Centralization in U.S. Intergovernmental Relations, 1947-1998, American Politics Research, Vol. 31 No. 3, May 2003 301-325. ISSUES OF GOVERNANCE IN AN INTERGOVERNMENTAL SYSTEM (Feb 22) National Policymaking in an Intergovernmental System Paul Posner and Timothy Conlan, Pathways of Policy Making, (Georgetown University Press, 2014), chaps. 1: Introduction, and chap. 9: The Pathway Dynamics of Intergovernmental Lawmaking and Reform, 1 Paul Posner, The Politics of Unfunded Mandates, Morton Grodzins, The Federal System, Anne Marie Cammisa, Governments as Interest Groups, in O Toole and Christensen, American Intergovernmental Relations, pp. 37-46, 127-31, and 259-71. Conlan, Posner and Regan, Governing Under Stress, chap 2. RESEARCH PAPER PROPOSALS DUE Stephens and Wikstrom, American Intergovernmental Relations, chap 5. Michael Doonan, American Federalism in Practice, (Brookings, 2013). Philip Monypenny, Federal Grants-in-aid to State Governments: A Political Analysis," in O'Toole, American Intergovernmental Relations, pp. 157-163. (Mar 1) Implementation in an Intergovernmental Context Conlan, Posner and Regan, Governing Under Stress, chaps 1, (3 or 4), (5 or 6), 10. Paul Manna, Collision Course, chap. 2. 1 Peterson, Rabe, and Wong, When Federalism Works (Brookings, 1986), chap. 1. 1 Robert Stoker, Reluctant Partners: Implementing Federal Policy, (Pittsburgh, 1991), chaps 3-4 PhD1 Recommended
Doonan, Michael, American Federalism in Practice, (Brookings, 2013) Peterson, Rabe, and Wong, When Federalism Works (Brookings, 1986). Mazmanian and Sabatier, Implementation and Public Policy Jeffrey Pressman and Aaron Wildavsky, Implementation (California, 1973). (Mar 8) Fiscal Federalism David Beam, Grants, in Lester Salamon, The Tools of Government 1 Rodden, Hamilton s Paradox, chaps 2-4. Miller and Cox, chap. 3. Conlan, Posner and Sommerfeld, Autonomy and Interdependence: The Scope and Limits of Fend for Yourself Federalism in the US, paper prepared for the OECD Workshop on The Institutions of Intergovernmental Fiscal Relations, Paris, Nov. 2014. 1 PhD Take Home Midterm Distributed Take Home Midterm Due Back, via email, on MARCH 15. Stephens and Wikstrom, American Intergovernmental Relations, chap. 4. Sally Wallace, The Evolving Financial Architecture of State and Local Governments, and Ray Scheppach, The Intergovernmental Grant System, in Ebel and Peterson, The Oxford Handbook of State and Local Government Finance (Oxford Univ. Press, 2012). 1 U.S. GAO, Grants to State and Local Governments: An Overview of Funding and Challenges (GAO 12-1016), pp 1-30. http://www.gao.gov/assets/650/648792.pdf Aid to State and Local Governments, OMB, Analytical Perspectives, Budget of the U.S. Budget, 2017 http://www.whitehouse.gov/omb/budget/fy2017 National Academy of Public Administration, Financing Governments in the 21 st Century, (NAPA, 2006) http://napawash.org/pc_intergov/index.html U.S. GAO, Federal Assistance: Grants System Continues to Be Highly Fragmented, (April 2003, http://www.gao.gov/cgi-bin/getrpt?gao-03-718t).
(Mar 22) The Rise of and Responses to Coercive Federalism Paul Posner, Mandates: The Politics of Coercive Federalism, in Intergovernmental Management for the 21 st Century. 1 William Gormley, Money and Mandates: The Politics of Intergovernmental Conflict, Publius 36:4 (2006), pp. 523-540. Timothy Conlan, From Cooperative to Opportunistic Federalism, Public Admin. Review 66 (Sept/Oct 2006). National Academy of Public Administration, Beyond Preemption: Intergovernmental Partnerships to Enhance the New Economy, and Advisory Commission on Intergovernmental Relations, Tools of Intergovernmental Regulation, in O Toole and Christensen, pp. 160-70, 252-58. Robert Jay Dilger and Richard S. Beth, Unfunded Mandates Reform Act: History, Impact, and Issues (Congressional Research Service, January 5, 2010), pp 1-11. 1 Stephens and Wikstom, chap. 6. Conlan, From New Federalism to Devolution, pp. 85-92; chap. 10. Joseph Zimmerman, Congressional Preemption During the George W. Bush Administration, Publius: The Journal of Federalism 37 (Summer 2007). U.S. Advisory Commission on Intergovernmental Relations, Federal Regulation of State and Local Governments: The Mixed Record of the 1980s, A-126 (Washington: GPO, 1993). (Mar 29) The Courts and American Federalism Timothy Conlan and Francois de Chantal, The Rehnquist Court and American Federalism, Political Science Quarterly 116 (Summer 2001): 253-275. Ilya Somin, Federalism and the Roberts Court, Publius: The Journal of Federalism. Summer 2016, Vol. 46 Issue 3, p441-462. U.S. Supreme Court, Nat l Federation of Independent Businesses et. al. vs Sebelius, and Gonzales v. Raich, in O Toole and Christensen, pp. 332-49; 367-83. James Read, Constitutionalizing the Dispute: Federalism in Hyper-Partisan Times, Publius: The Journal of Federalism. Summer 2016, Vol. 46 Issue 3, pp 337-365.
John Nugent, Safeguarding Federalism: How States Protect Their Interests (Oklahomoa Univ. Press, 2009), pp. 6-16, 54-75. 1 PhD Timothy Conlan and Robert Dudley, Janus Faced Federalism: State Sovereignty and Federal Preemption on the Rehnquist Court, PS: Political Science (July 2005): 363-366. phd Young, Ernest A. 2004. "The Rehnquist Court's Two Federalisms," Texas Law Review 83: 1. (Apr 5) States and Localities in the Federal System Barry Rabe, Regionalism And Global Climate Change Policy: Revisiting Multi-State Collaboration As An Intergovernmental Management Tool, in Intergovernmental Management for the 21 st Century. 1 Miller and Cox, Governing the Metropolitan Region, chaps 1-2, 4-10. Aberta Sbragia, Entrepreneurial Cities, in O Toole and Christensen, pp. 186-97. Michael Doonan, Massachusetts leads the way, chapter 8 in American Federalism in Practice (Brookings, 2013). 1 Stephens and Wikstrom, American Intergovernmental Relations, chaps 7-9. Jungah Bae and Richard C. Feiock, Managing Multiplexity: Coordinating Multiple Services at a Regional Level, State and Local Government Review 2012 44: 16-29 Gray, et. al. Politics in the American States, multiple editions (CQ Press). CONTEMPORARY GOVERNANCE AND REFORM (Apr 12) Contemporary Issues in American Federalism Paul Posner and Tim Conlan, American Federalism in an Era of Partisan Polarization: The Intergovernmental Paradox of Obama s New Nationalism, Publius: The Journal of Federalism. Summer 2016, Vol. 46 Issue 3, pp. 281-307. Ray Scheppach and Frank Shafroth, Intergovernmental Finance in the New Global Economy, in Conlan and Posner, Intergovernmental Management in the 21 st Century 1
Jeanne Lambrew, Making Medicaid a Block Grant Program: An Analysis of the Implications of Past Proposals, The Milbank Quarterly, Vol. 83, No. 1 (2005), pp. 41-64 Rick Perry, Fed Up!, pp. 168-185. 1 Alice Rivlin, Reviving the American Dream, (Brookings, 1991. (Apr 19) DRAFT RESEARCH PAPERS DUE AND EXCHANGED (April 26) (May 3) Research Colloquium: Group Discussion of Draft Papers Paper evaluations due. Course Evaluations REVISED PAPERS DUE AND PRESENTED If you are a student with a disability and you need academic accommodations, please see me and contact the Disability Resource Center (DRC) at 703.993.2474. All academic accommodations must be arranged through that office. University Honor Code To promote a stronger sense of mutual responsibility, respect, trust, and fairness among all members of the George Mason University community and with the desire for greater academic and personal achievement, we, the student members of the University Community have set forth this honor code: Student members of the George Mason University community pledge not to cheat, plagiarize, steal, or lie in matters related to academic work. PIA HONOR CODE POLICY The Honor Code policy endorsed by the members of the Department of Public and International Affairs relative to the types of academic work indicated below is set out in the appropriate paragraphs: 1. Quizzes, tests and examinations. No help may be given or received by students when takeing quizzes, tests, or examinations, whatever the type or wherever taken, unless the instructor specifically permits deviation from this standard. 2. Course Requirements: All work submitted to fulfill course requirements is to be solely the product of the individual(s) whose name(s) appears on it. Except with permission of the instructor, no recourse is to be had to projects, papers, lab reports or any other written work previously prepared by another student, and except with permission of the instructor no paper or work of any type submitted in partial fulfillment of the requirements of another course may be used a second time to satisfy a requirement of any course in the Department of Public and International Affairs. No assistance is to be obtained from commercial organizations which sell or lease research help or written papers. With respect to all written work as appropriate, proper footnotes and attribution are required.