Post on 20-Aug-2015
transcript
U.S. GovernmentGOVT 2305
Unit 1
Federalism
Chapter 3
Types of Governmental Structures
• The way that government within a country is structured can determine the power relationships between its citizens and government.
• Three major types of governmental structures– Unitary– Confederal– Federal
Unitary Form of Government
• This government will have a strong central government but weak or nonexistent regional governments
Central Government
Citizen
Confederal Form of Government
• This government will have strong state governments but weak central government
Central Government
CitizenState
Government
Federal Form of Government• This type of government
has shared powers between the central government and state governments.
• This type of structure is found in the United States.
Central Government
CitizenState
Government
Arguments for Federalism
• By dividing power, federalism prevents tyranny by a few
• Federalism increases opportunities for citizen participation
• Federalism allows states to serve as laboratories for experiments in public policies
• Only practical solution for a diverse nation
Dividing Power
• Public policies are made by local and state governments and our national government
• Can you give an example of local and state public policies that conflict with policies made by our national government?
Opportunities for Citizen Participation
We may not have the resources to run for Congress or major state offices
But we can serve our cities, school districts, and community college districts as elected officials
Experiments in Public Policies
The Social Security Act of 1935 was
based on state programs of payments to
the elderly after banks began to fail in the
Great Depression
Think of how we differ within our nation
Arguments against Federalism
Division of power can make it more time-consumingto solve problems because of overlapping programs
Legis
lati
ve
Bra
nch
Ex
ecuti
ve
Bra
nch
National Government
State Governments
Federalism
Sep
ara
tio
n
Of
Pow
ers
Judic
ial
Bra
nch
Constitutional Basis for Federalism
Powers Found in the U.S. Constitution
National Powers
• Enumerated or expressed powers (listed powers)– Article I, sec. 8– Article II, sec. 2– Article III, sec. 2
• Delegated powers (exclusive powers of the national government)– Article I, sec. 10– Powers denied to
the states, but not to the national government
National Powers
• Implied powers– Necessary and
proper clause in Article I, sec. 8
– Congress can enact laws “necessary and proper” to carry out the expressed powers
• National supremacy– Article VI, sec. 2– Relationship
between national and state powers if there is a conflict
State Powers
• 10th Amendment– Those powers not denied states or given
exclusively to the national government may be exercised (reserved powers) by states
• Article IV– The article provides for admitting new states– It also establishes a relationship between the
states - “Full faith and credit” clause
Denied Powers
Powers are denied to both the national and state governments
Examples of Denied Powers
• Suspending the writ of habeas corpus except in emergencies
• Writs of habeas corpus are used to bring suspects before a court of law to determine if sufficient cause exists to hold them
New Orleans following Katrina
Examples of Denied Powers
Enacting ex post facto (retroactive) criminal laws
Using bills of attainder (taking of life, freedom, or personal property without due process)
Concurrent Powers
• Concurrent powers are shared powers among the national and state governments
• Increased growth of concurrent powers– Federalism and federal grants
Concurrent Powers
• Some examples of concurrent powers– Taxing– Providing for the general welfare– Elections
Changing Views of Federalism
Dual Federalism
• Dual federalism existed primarily from 1790s to 1930s– Great Depression forced changes
• Each level of government was to exercise separate functions– States were responsible for most
governmental functions, particularly in the economic areas
– Very limited federal roles
Dual Federalism
• This is known as the “layer cake” federalism
Cooperative Federalism1930s - Present
• The Great Depression overwhelmed state governments
• Officials had to rethink the traditional role of the national government
• The changes in federalism led to interdependencies between governments
• This federalism is known as “marble cake” federalism
State Governments
National Government
Cooperative Federalism1930s - Present
• Federal grants have led to interdependencies between the national government and state governments (cooperative federalism)
Purposes of Federal Grants
Developmental programs
Redistributive programs
Developmental Programs
• Grants to help state and local governments develop programs related to national objectives
• Many of them are infrastructure grants
Redistributive Programs
• Grants to redistribute income from more affluent citizens and communities to poorer citizens and communities
• ExamplesNutrition programsEducation programsCommunity development block grants
Types of Grants
• Categorical grants– The grants are narrow in scope and usually
fund one activity– Library construction funds are categorical
grants• Formula grants
– The grants use formulas (usually number of poor residents and substandard housing units) to determine amount of funds awarded
Types of Grants
• Project grants– The grants have a definite time frame– Highway construction grants are both project
and categorical grants• Block grants
– The grants fund broad categories of government programs
– Community development block grants are examples• Funding can be used for many
programs viewed as necessary for a thriving community
Advantages of Federal Grants
• Additional funds that can increase availability of programs
• In 2010 Texas received $27.6 billion dollars in federal grants– Medicaid ($2.9 billion in 2010)– Highway planning and construction ($3.2
billion in 2010)
Disadvantages of Federal Grants
• Administrative costs– Reports, audits, recordkeeping
• Continuation of the program– Will the program be continued next year?– Can a state or local government receiving
funds this year also receive them next year
Disadvantages of Federal Grants
• Grant requirements– Matching funds
• Shares that receiving governments must provide
– Formulas• Analyses must be done, using Census Bureau
data
Workload of Grantees
• Imagine a state or local government having several federal grants– Monthly, semiannual, or annual reports– Annual or biennial audits– Recordkeeping
• Grantees (those receiving the grants) generally dedicate a certain number of work years to maintaining and disbursing federal grant funds
Example of a Federal Grant
WIC Program
• 10.557 SPECIAL SUPPLEMENTAL NUTRITION PROGRAM FOR WOMEN, INFANTS, AND CHILDREN
• FEDERAL AGENCY– FOOD AND NUTRITION SERVICE, DEPARTMENT
OF AGRICULTURE
• AUTHORI Z ATION– Child Nutrition Act, as amended, Section 17,
42 U.S.C. 1786
• TY PES OF ASSISTANCE– Formula Grants
categorical grant
congressional authorization – War on Poverty programs
granting agency
CFDA grant #
WIC Program
• USES AND USE RESTRICTIONS– Grants are made to State health departments or
comparable agencies, Indian tribes, bands, or intertribal councils, or groups recognized by the Bureau of Indian Affairs, U.S. Department of the Interior, or the Indian Health Service of the U.S. Department of Health and Human Services. These agencies distribute funds to participating local public or nonprofit private health or welfare agencies. State agencies are provided Federal funds according to legislative and regulatory formulas. Only local agencies qualifying under State agency applications with formal agreements may operate WIC programs.
WIC Program
• ELIGIBILITY REQUIREMENTS – Pregnant, breastfeeding and postpartum women, infants,
and children up to 5 years of age are eligible if: 1) they are individually determined by a competent professional to be in need of the special supplemental foods supplied by the program because of nutritional risk; and 2) meet an income standard, or receive or have certain family members that receive benefits under the Food Stamp, Medicaid or Temporary Assistance for Needy Families Programs. They must also reside in the State in which benefits are received.
– Individuals are certified as meeting an income standard, or as participating in certain other means-tested Federal programs. Certification regarding nutritional need for supplemental foods is determined by local level professionals. redistributive grants
WIC Program
• Formula and Matching Requirements– Grants are allocated on the basis of formulas
determined by the Department of Agriculture which allocate funds for food benefits, and nutrition services and administration costs. No matching funds are required, but some States contribute nonfederal funds in support of a larger WIC Program in their State.
WIC Program• Reports
– Monthly report of participation, value of food or food instruments issued, operating expenses, and funds withdrawn from the Federal letter of credit.
• Audits– State and local governments and Nonprofit
organizations that expend a total amount of Federal awards equal to or in excess of $500,000 in any fiscal year shall have either a single audit or (in certain cases stated in the Circular) a program-specific audit made for such fiscal year.
WIC Program
• Records– Full and complete records concerning program
operations • financial operations• food delivery systems• food instrument issuance and redemption• equipment purchases and inventory• nutrition education• civil rights• fair hearing procedures
Catalog of Federal Domestic Assistance
www.cfda.gov
Listing of All Federal Grant Programs
Major Changes Occurred Again in Federalism during
the 1960s
Centralized Federalism19 6 0s - Present
• War on Poverty Programs under presidents Kennedy and Johnson
• Heavy use of formulas for grants– Number of poor families– Number of substandard housing units– Statistics developed from census data
• Examples– Head Start– Action– Community Development Block Grants
Centralized Federalism
• New federal grants in the 1960s and 1970s required coordination with state and local governments
Social Services Grants
InfrastructureGrants
Education Grants
Federal Govt.
State Govt.
Local Govt.
Centralized Federalism
• The national government required state and local governments to meet national objectives of clean air and water and other objectives– Clean Air Act of 1963– Clean Water Act of 1972
Centralized Federalism
• Use of unfunded mandates– State and local governments must meet the
national objectives, but additional funding was not provided
• Use of crossover sanctions– “Meet the objectives or lose federal funding that the
state governments had been receiving”
• Preemption-national government usurping state powers
Examples of Crossover Sanctions
• “Carrot” and “Stick” approach– The “carrots” are federal grant funds– The “stick” is the loss of existing federal grant funds
• Many of the crossover sanctions involve billions of dollars in federal highway funds– Lower the speed limit on interstate and U.S. highways– Raise the legal age for alcohol consumption– Replace diesel buses with compressed natural gas
buses
Major Changes Occurred Again in Federalism during
the 1980s
Devolved Federalism
• Rapidly increasing federal deficits at the time of budget surpluses in state governments
• More of the burden for funding existing programs placed on state and local governments
Devolved Federalism
• Consolidation of categorical grant programs into block grant programs– Welfare Reform Act of 1993
Today’s Federalism
• Every government function today involves at least two levels of government and more likely, three levels (national, state, and local)– Education– Law Enforcement– Public Health– Public Welfare– National Defense– Transportation
Today’s Federalism
• It is apparent that federalism has changed from a simple view in the 19th century to a complicated arrangement in the 20th and 21st centuries