class 3 - May 16

class 3 - May 16 - May 16 May Federalism and the Federalism...

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Unformatted text preview: May 16 May Federalism and the Federalism structure of government 1 Federalism – a fundamental concept concept How is power and responsibility divided How among the national and sub-national government? government? In a federal system, power and In responsibility is divided among levels of government (national, state, local) that generally have separate legislative bodies generally US, Germany, Australia, Canada, India • Often used by nations that formerly were Often separate colonies or nations 2 Federal system Federal Power is decentralized with certain Power functions assigned to different levels of government government National responsibilities at federal level Regional responsibilities at state level Local responsibilities at local level Each level typically has its own Each government structure – legislative body, executive branch, judiciary – and revenue sources 3 Unitary system Unitary In a unitary system, all or most power is In centralized at the national level centralized United Kingdom, France, Turkey, Norway • (UK is now kind of a hybrid, as it has (UK developed some regional parliaments) developed • While there may be regional and local While governments, they typically are weak and dependent on federal government for resources resources If you want to get something done, you If generally have to go to the national government to address the issue Even things like getting a new traffic light 4 American federal system American Policy responsibility is divided between Policy federal, state, and local governments federal, Reflects desire to decentralize power and Reflects retain role of former colonies retain The United States The States Dividing power to avoid tyranny is a Dividing fundamental part of American government and administration and Federalism has major advantages and Federalism drawbacks drawbacks The system is fairly unique and reflects The America’s history America’s 5 Major Advantages of Federalism Major Programs more easily adapted to local needs Regional power centers keep majority in check Encourages the creation and diffusion of Encourages government innovations government Relieves the administrative burden on the central Relieves government government Localizes political conflict, making it more Localizes manageable manageable More opportunities for participation in the political More system system Enables lower levels of government to work together Promotes national economic development 6 Major Disadvantages of Federalism Major Lower level governments typically fail to address Lower external impacts (i.e. – pollution) external Large number of governments results in lack of Large coordination and increased administrative confusion coordination Slows change – ‘one person’s checks and balances Slows is another one’s delay and inaction’ is Local priorities are put above regional or national Local ones ones Great variation = political inequities Decentralization contributes to breakdown of Decentralization administrative accountability administrative 7 A little history (how we got here) little US started as 13 separate colonies, US generally governed by local elected legislatures and governors appointed by England (some by crown, others essentially by corporations) essentially Colonies were essentially ignored for Colonies many years (particularly during English Civil War) Civil Colonies developed strong tradition of Colonies self-government and suspicion of appointed central authority appointed 8 A little history little 1754-1763 1754-1763 - very nasty war (French and Indian War) – fought in large part inside North America Almost bankrupted England and Almost required it to maintain military presence in North America presence England wanted the colonies to help England pay cost and proposed several tax systems (stamp act, tea tax) systems We didn’t like any of them (violently) 9 A little history During Revolutionary War, effort was During led by Continental Congress. There was no executive branch; functions were handled by congressional committees committees After Revolutionary War, US governed After by Articles of Confederation (loose association of sovereign states) association No real executive (similar to what No existed under Continental Congress) existed 10 A little history little Under Articles of Confederation, Under unanimous consent of states was required for any action Consequently, few decisions were made Major problems were not addressed Major (war debt, interstate commerce) highlighted by Shay’s Rebellion – uprising highlighted against confiscation of property for unpaid taxes to repay war debts taxes 11 A little history little Led to calls to revise Articles of Led Confederation, resulting in constitutional convention constitutional Final outcomes was based on many Final compromises compromises Role of states versus federal government Election of the Congress Division of powers among branches of Division government government 12 Constitution Constitution Specifies national government role, but Specifies vague on authority of state governments A fundamental precept is that power needs to fundamental be divided to prevent tyranny (both by the government and by the majority) Authority divided among branches of government Authority with lots of checks and balances with Authority divided between federal government Authority and the states and The interpretation of the Constitution has The significantly evolved over time as issues had to be addressed to 13 Constitution But the fundamental issues that had to But be compromised when the Constitutional was drafted still exist Constitutional How much power should the Federal How government have? Over what? government How should power and authority be How divided between the states and the federal government? government? Where should the line be drawn between Where government and the private sector? government 14 The Role of Courts Enumerated versus Implied Powers Strict constructionists – enumerated Loose constructionists – implied Alexander Hamilton’s establishment of the Alexander National Bank (McCulloch v. Maryland) – National foundation for expansion of national power whenever necessary. whenever Commerce Clause Gibbons v. Ogden became legal basis for expansion of national regulatory powers expansion The courts have continued to debate the extent to The which national regulatory powers can be 15 Concepts of federalism Concepts Layer cake model - different levels of Layer government have compartmentalized functions; historical but not realistic functions; 16 Concepts of federalism Concepts Marble cake model – functions and Marble responsibilities are mixed, with each level involved in major program areas level 17 Concepts of federalism Concepts Picket fence federalism – responsibility Picket for programs is spread over each level, but there are links between staff who work on policy areas in each level work 18 Federal government Federal Concentrates spending in a few areas – Concentrates health, social security, defense health, Most spending is on entitlement programs Most like Medicare and Social Security, to which individuals are “entitled” by law; fastest growing part of budget fastest Percentage of spending on defense has Percentage fallen over time Entitlements, defense, and interest on the Entitlements, national debt have grown, now about 85% of federal spending of 19 Federal government A major role of the federal government is to major write checks write Most employees manage contracts and Most grants grants A small share of federal employees manage small direct service programs direct The federal budget details what the The government does but not how it does it – most of its major programs are administered by other levels of government by 20 State governments State Institutionally similar to the federal Institutionally government government States concentrate their services on States health, education, prisons, and highways health, States play a major role by receiving and States administering federal grants administering But, federal funds always have strings But, attached; e.g., to receive Medicaid funds, states must provide specified services to specified groups specified 21 Local governments Local Lots of them – over 86,000 in 2002 – includes Lots cities/municipalities, towns, counties, school boards, special districts boards, Focused on direct delivery of services Focused (provided directly to citizens, such as police and fire protection, education, and hospital care) care) Primary spending is on elementary and Primary secondary education, local roads, recreation, health, and utilities health, Mix of responsibilities between local Mix governments and their states varies widely 22 across nation across Question Question What level of government is What responsible for education? responsible Local government school districts – hire Local staff, administer schools, raise funds from property taxes (about 40% of total funds) property State department of education – set State statewide curriculum mandates, provide state funds (around half of total funds), statewide tests, school grades statewide U.S. Department of Education – provide U.S. funds (about 10%), food commodities, collect data, set national mandates (No Child Left Behind) Behind) 23 Question Question What governmental level does Emergency preparedness? Health care? Transportation? Criminal justice? Defense? 24 Tools of government Tools Government has a variety of tools to carry Government out its functions Direct tools: things government does itself – Direct services such as schools and universities, providing income support, offering direct loans, providing police and fire protection loans, Indirect tools: things government provides Indirect through other entities – contracts with private companies, grants to government and nongovernmental partners, vouchers nongovernmental 25 Direct administration Direct Most folks equate government as Most providing direct services providing But, direct administration is only a But, small part of government activity at the federal level federal Direct services are more prevalent at Direct the state and local levels, but these governments are increasingly using indirect tools indirect 26 Indirect administration Indirect Much government activity is indirect Much and is accomplished through grants, contracts, regulations, tax incentives, etc. This is particularly true at the federal This level , but is true at state as well (and to some extent, the local level) some More services are contracted out and are More provided by a network of public and private providers private 27 Grants Grants Fiscal federalism – transfer of resources Fiscal between levels of government Grants are the oldest, most widely used Grants tool that the federal government employs to carry out public policy to e.g., Medicaid grants pay majority of costs e.g., via grants for medical care for the poor via Two types of grants: • Categorical grants – for specific purposes • Block grants – more flexibility 28 Categorical Grants Categorical There are two types Project Grants – require recipients to submit Project an application and undergo a review process an • Example – American Recovery and Reinvestment Example Act a.k.a. Stimulus Funding Act Formula Grants – all states meeting Formula predescribed legislative qualifications automatically receive funds based on formulaautomatically based proportionate share based 29 Why have grant programs? Why Promote economic efficiency and equity in Promote the system the Goals of Grants Correct inefficiencies in the allocation of Correct resources resources • spillover effects (i.e. – pollution) Correct fiscal imbalances • Mismatch of social needs and available resources (i.e. – Mismatch Florida’s above average Medicare population) Florida’s Federal revenue sources more stable • income versus sales tax • More progressive 30 Downside of grants Downside Centralizes authority (he who writes the Centralizes checks calls the shots) checks Can result in funding inefficient/ineffective Can programs programs National rules may not be appropriate for National local conditions local Diffuses accountability and responsibility Can preempt state and local authority Can result in unfunded mandates 31 Federal Mandates Federal Requires imposed on lower-level Requires government government Typically requires an activity or service Typically requires money Unfunded Mandates (ex. Increased rail Unfunded transit safety measures) transit Crosscutting (ex. Clean Water/Air, ADA Crosscutting Compliance) Compliance) Preemptions Preemptions Adjustments to the supremecy clause Adjustments 32 Federalism issues – interstate and intrastate relations and Federal constitution doesn’t address Federal local governments, which are ‘creatures of their states’ ‘creatures Cities are municipal corporations Cities chartered by their states chartered Dillon’s Rule – local governments have Dillon’s only those powers expressly granted by states and necessary to carry out those powers those 33 Federalism issues Federalism Full faith and credit – states must respect Full acts and judicial actions of other states acts But the line is blurry/political – e.g., gay But marriage marriage Extradition – States typically must Extradition transfer custody of persons accused of crimes in other states (big issue in slavery days) days) Privileges and immunities – states Privileges generally cannot discriminate against citizens of other states citizens Interstate compacts – formal agreements Interstate among states to address specific issues among 34 Federalism issues Federalism Interstate Relations Interstate compacts – formal agreements Interstate among states to address specific issues among Interstate conflict – Constitution assigns the Interstate resolution of these to the Supreme Court resolution Intrastate Relations Exception to Dillon’s Rule – home rule Exception provision provision Financial matters totally guided by state law 35 Implications for public administration administration The job of government varies by level Local: mostly a direct provider of goods Local: and services and State: intermediary as well as a direct State: provider of goods and services provider Federal: provider of national defense, Federal: writes checks and rules for programs administered at state and local levels administered 36 Implications for Public Administration Administration The job of government varies by The function function Direct provision: most administrative Direct action is internal to the government’s bureaucracy bureaucracy Transfer programs: involves extensive Transfer action external to the government bureaucracy and determines the size of the check that the law entitles a recipient the 37 Implications for Public Administration Administration The job of government varies by who The provides the goods and services provides Difference between who establishes a Difference service, (by creating and paying for it) and who delivers it Much government is by proxy, using thirdparty agents to administer programs that party the government funds the There are several types of programs: There transfer programs, government by proxy, 38 direct service programs direct Conclusion Conclusion Government’s ability to manage is Government’s growing more complex over time growing Involves a web of intricate relationships Involves among federal, state, local governments as well as the private sector and nonprofit entities entities Increasingly uses indirect tools, which are Increasingly harder to manage harder The balance of competing values is always The shifting shifting 39 Civil society Civil Public administration is greatly Public affected by the greater civil society affected all forms of public participation in all government, including voluntary associations and interest groups associations It is a source of social capital – the It trust and relationships that help hold societies together societies Civic engagement – the forms of citizen Civic participation in institutions within the political system political 40 Civil society Civil Strength of civil society directly affects Strength government government Voluntary associations (churches, civic Voluntary groups) perform many services that otherwise would fall to government • Tutoring, housing rehabilitation, cancer Tutoring, research funding, etc. Are critical in transmitting civic values Are (e.g., voting and participation, respect for different cultures) different Are a key factor in building trust and Are engaging citizens in government engaging 41 Civil society The US has a long history of active The civic society civic Tocqueville noted that Americans readily Tocqueville formed social groups to address problems (1830s) (1830s) • Without these organizations, democracy would Without be endangered be Many social reforms have been Many spearheaded by civic groups • abolition of slavery, women’s right to vote, civil abolition rights, environmental protection, drunk driving 42 prevention Can be challenges Can Madison held that interest groups Madison (‘factions’) seek their own interest, not the public interest public designed government to divide power and ‘pit designed faction against faction’ to protect public interest interest If people only associate with others that If have similar interest and opinions, then civil trust can be compromised Some groups are exclusionary, reinforce Some negative values, and controlling 43 Interest groups Many civic associations form interest groups Many and hire lobbyists that explicitly work to influence government programs and policy influence National Rifle Association, National Education National Association, National Banking Association, Sierra Club, National Organization of Women Club, Interest groups can help monitor government Interest activity, identify problems, and work with legislators and managers to resolve them Can be seen as helping democracy by Can holding agencies accountable holding 44 Interest groups Support public agencies by Generating public support by taking stand on Generating issues publically issues Act publically on issues where agencies can not Act due to fear of political repercussions due Fight adverse legislative actions (budget cuts) Engage in public relations campaigns to advance Engage cause/position cause/position Beginning in the 1960’s, interest Beginning groups have lost some power due to “advocacy explosion” “advocacy 45 However, Resources available to groups to Resources influence policy and implementation are very unequal very Those with $ and time resources are much Those more organized and have a much larger lobbying presence than less-well off groups So, privileged interests tend to get more So, privileged, poor get poorer; NIMBY – less desirable things like sewage plants get put in poor neighborhoods because wealthy groups form interest groups to keep them out of their areas areas 46 To address this problem To Agencies can set up structures to Agencies seek input from less organized groups groups Put minorities on advisory councils Hold public hearings in low income Hold areas, at night when people can attend areas, Have designated positions to advocate Have for minority perspectives and rights for However, this can be controversial – However, ‘paying folks to sue us’ ‘paying 47 Groups can capture agencies Groups Some interest groups gain virtual Some control over government policy control “iron triangles” between agencies, iron legislative committees that oversee them, and interest groups and Examples – sugar price supports, energy Examples policy, firearms policy policy, Agency political appointees can be drawn from the interest groups that they will regulate, resulting in fox guarding the 48 henhouse henhouse There is competition over policy There Issue networks – policy in many areas Issue is not as controlled as in the case of iron triangles, but is influenced by competing groups that care about the issue issue Groups include interest groups, think Groups tanks, media groups, professional associations, relevant agencies associations, They compete over how issues are defined They and what ‘solutions’ are applied to them and 49 Is civil society declining? Is Fewer people are joining traditional civic Fewer groups groups Average age of Elk lodge members is around Average 70 70 Bowling leagues are down – ‘bowling alone’ But, more folks are joining other types of But, social groups (particularly active churches) churches) Many younger folks interact virtually Many rather than joining traditional groups rather 50 Why? Why? Too busy/time pressures Economic troubles Increase of women in the workforce Expansion of the welfare state What is the impact of social media such What as Facebook on civic engagement? Does ‘joining a group’ on Facebook Does constitute civic engagement? constitute 51 What does this mean for PA What As a public administrator, you will need to As interact with civic society interact civic groups, interest groups, etc. • For example, local government officials must For deal with neighborhood groups deal ‘Competent communities’ harness civic Competent society to aid governance Identify social needs, negotiate compromises, Identify harness social groups to solve problems harness Requires administrators to be negotiators, Requires able to reach out to different cultural communities communities 52 But, But, This involves administrators in This inherently political activities in addition to just running programs to Public input provisions slow things Public down, are messy, and can increase controversy It is much harder to manage programs It that are provided by a mixture of agencies, nonprofits, and civic groups than a traditional government program than 53 Discussion questions Discussion For next class For Read chapter 11 Respond to discussion questions Work on your bill analysis, due JUNE 8 Work 55 ...
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