Unit+1,+chapter+3,+federalism

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

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National Government

State Governments

Federalism

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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