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  1. 1. U.S. Government GOVT 2305
  2. 2. Unit 1 Federalism Chapter 3
  3. 3. Types of Governmental Structures <ul><li>The way that government within a country is structured can determine the power relationships between its citizens and government. </li></ul><ul><li>Three major types of governmental structures </li></ul><ul><ul><li>Unitary </li></ul></ul><ul><ul><li>Confederal </li></ul></ul><ul><ul><li>Federal </li></ul></ul>
  4. 4. Unitary Form of Government <ul><li>This government will have a strong central government but weak or nonexistent regional governments </li></ul>Central Government Citizen
  5. 5. Confederal Form of Government <ul><li>This government will have strong state governments but weak central government </li></ul>Central Government Citizen State Government
  6. 6. Federal Form of Government <ul><li>This type of government has shared powers between the central government and state governments. </li></ul><ul><li>This type of structure is found in the United States. </li></ul>Central Government Citizen State Government
  7. 7. Arguments for Federalism <ul><li>By dividing power, federalism prevents tyranny by a few </li></ul><ul><li>Federalism increases opportunities for citizen participation </li></ul><ul><li>Federalism allows states to serve as laboratories for experiments in public policies </li></ul><ul><li>Only practical solution for a diverse nation </li></ul>
  8. 8. Dividing Power <ul><li>Public policies are made by local and state governments and our national government </li></ul><ul><li>Can you give an example of local and state public policies that conflict with policies made by our national government? </li></ul>
  9. 9. Opportunities for Citizen Participation <ul><ul><li>We may not have the resources to run for Congress or major state offices </li></ul></ul><ul><ul><li>But we can serve our cities, school districts, and community college districts as elected officials </li></ul></ul>
  10. 10. Experiments in Public Policies <ul><ul><li>The Social Security Act of 1935 was </li></ul></ul><ul><ul><li>based on state programs of payments to </li></ul></ul><ul><ul><li>the elderly after banks began to fail in the </li></ul></ul><ul><ul><li>Great Depression </li></ul></ul>
  11. 11. Think of how we differ within our nation
  12. 12. Arguments against Federalism <ul><li>Division of power can make it more time-consuming </li></ul><ul><li>to solve problems because of overlapping programs </li></ul>
  13. 13. Constitutional Basis for Federalism Powers Found in the U.S. Constitution
  14. 14. National Powers <ul><li>Enumerated or expressed powers (listed powers) </li></ul><ul><ul><li>Article I, sec. 8 </li></ul></ul><ul><ul><li>Article II, sec. 2 </li></ul></ul><ul><ul><li>Article III, sec. 2 </li></ul></ul><ul><li>Delegated powers (exclusive powers of the national government) </li></ul><ul><ul><li>Article I, sec. 10 </li></ul></ul><ul><ul><li>Powers denied to the states, but not to the national government </li></ul></ul>
  15. 15. National Powers <ul><li>Implied powers </li></ul><ul><ul><li>Necessary and proper clause in Article I, sec. 8 </li></ul></ul><ul><ul><li>Congress can enact laws “necessary and proper” to carry out the expressed powers </li></ul></ul><ul><li>National supremacy </li></ul><ul><ul><li>Article VI, sec. 2 </li></ul></ul><ul><ul><li>Relationship between national and state powers if there is a conflict </li></ul></ul>
  16. 16. State Powers <ul><li>10 th Amendment </li></ul><ul><ul><li>Those powers not denied states or given exclusively to the national government may be exercised ( reserved powers ) by states </li></ul></ul><ul><li>Article IV </li></ul><ul><ul><li>The article provides for admitting new states </li></ul></ul><ul><ul><li>It also establishes a relationship between the states - “Full faith and credit” clause </li></ul></ul>
  17. 17. Denied Powers Powers are denied to both the national and state governments
  18. 18. Examples of Denied Powers <ul><ul><li>Suspending the writ of habeas corpus except in emergencies </li></ul></ul><ul><ul><li>Writs of habeas corpus are used to bring suspects before a court of law to determine if sufficient cause exists to hold them </li></ul></ul>New Orleans following Katrina
  19. 19. Examples of Denied Powers <ul><ul><li>Enacting ex post facto (retroactive) criminal laws </li></ul></ul><ul><ul><li>Using bills of attainder (taking of life, freedom, or personal property without due process ) </li></ul></ul>
  20. 20. Concurrent Powers <ul><li>Concurrent powers are shared powers among the national and state governments </li></ul><ul><li>Increased growth of concurrent powers </li></ul><ul><ul><li>Federalism and federal grants </li></ul></ul>
  21. 21. Concurrent Powers <ul><li>Some examples of concurrent powers </li></ul><ul><ul><li>Taxing </li></ul></ul><ul><ul><li>Providing for the general welfare </li></ul></ul><ul><ul><li>Elections </li></ul></ul>
  22. 22. Changing Views of Federalism
  23. 23. Dual Federalism <ul><li>Dual federalism existed primarily from 1790s to 1930s </li></ul><ul><ul><li>Great Depression forced changes </li></ul></ul><ul><li>Each level of government was to exercise separate functions </li></ul><ul><ul><li>States were responsible for most governmental functions, particularly in the economic areas </li></ul></ul><ul><ul><li>Very limited federal roles </li></ul></ul>
  24. 24. Dual Federalism <ul><li>This is known as the “layer cake” federalism </li></ul>
  25. 25. Cooperative Federalism 1930s - Present <ul><li>The Great Depression overwhelmed state governments </li></ul><ul><li>Officials had to rethink the traditional role of the national government </li></ul><ul><li>The changes in federalism led to interdependencies between governments </li></ul><ul><li>This federalism is known as “marble cake” federalism </li></ul>State Governments National Government
  26. 26. Cooperative Federalism 1930s - Present <ul><li>Federal grants have led to interdependencies between the national government and state governments (cooperative federalism) </li></ul>
  27. 27. Purposes of Federal Grants Developmental programs Redistributive programs
  28. 28. Developmental Programs <ul><ul><li>Grants to help state and local governments develop programs related to national objectives </li></ul></ul><ul><ul><li>Many of them are infrastructure grants </li></ul></ul>
  29. 29. Redistributive Programs <ul><ul><li>Grants to redistribute income from more affluent citizens and communities to poorer citizens and communities </li></ul></ul><ul><ul><li>Examples </li></ul></ul><ul><ul><ul><li>Nutrition programs </li></ul></ul></ul><ul><ul><ul><li>Education programs </li></ul></ul></ul><ul><ul><ul><li>Community development block grants </li></ul></ul></ul>
  30. 30. Types of Grants <ul><li>Categorical grants </li></ul><ul><ul><li>The grants are narrow in scope and usually fund one activity </li></ul></ul><ul><ul><li>Library construction funds are categorical grants </li></ul></ul><ul><li>Formula grants </li></ul><ul><ul><li>The grants use formulas (usually number of poor residents and substandard housing units) to determine amount of funds awarded </li></ul></ul>
  31. 31. Types of Grants <ul><li>Project grants </li></ul><ul><ul><li>The grants have a definite time frame </li></ul></ul><ul><ul><li>Highway construction grants are both project and categorical grants </li></ul></ul><ul><li>Block grants </li></ul><ul><ul><li>The grants fund broad categories of government programs </li></ul></ul><ul><ul><li>Community development block grants are examples </li></ul></ul><ul><ul><ul><li>Funding can be used for many programs viewed as necessary for a thriving community </li></ul></ul></ul>
  32. 32. Advantages of Federal Grants <ul><li>Additional funds that can increase availability of programs </li></ul><ul><li>In 2010 Texas received $27.6 billion dollars in federal grants </li></ul><ul><ul><li>Medicaid ($2.9 billion in 2010) </li></ul></ul><ul><ul><li>Highway planning and construction ($3.2 billion in 2010) </li></ul></ul>
  33. 33. Disadvantages of Federal Grants <ul><li>Administrative costs </li></ul><ul><ul><li>Reports, audits, recordkeeping </li></ul></ul><ul><li>Continuation of the program </li></ul><ul><ul><li>Will the program be continued next year? </li></ul></ul><ul><ul><li>Can a state or local government receiving funds this year also receive them next year </li></ul></ul>
  34. 34. Disadvantages of Federal Grants <ul><li>Grant requirements </li></ul><ul><ul><li>Matching funds </li></ul></ul><ul><ul><ul><li>Shares that receiving governments must provide </li></ul></ul></ul><ul><ul><li>Formulas </li></ul></ul><ul><ul><ul><li>Analyses must be done, using Census Bureau data </li></ul></ul></ul>
  35. 35. Workload of Grantees <ul><li>Imagine a state or local government having several federal grants </li></ul><ul><ul><li>Monthly, semiannual, or annual reports </li></ul></ul><ul><ul><li>Annual or biennial audits </li></ul></ul><ul><ul><li>Recordkeeping </li></ul></ul><ul><li>Grantees (those receiving the grants) generally dedicate a certain number of work years to maintaining and disbursing federal grant funds </li></ul>
  36. 36. Example of a Federal Grant
  37. 37. WIC Program <ul><li>10.557 SPECIAL SUPPLEMENTAL NUTRITION PROGRAM FOR WOMEN, INFANTS, AND CHILDREN </li></ul><ul><li>FEDERAL AGENCY </li></ul><ul><ul><li>FOOD AND NUTRITION SERVICE, DEPARTMENT OF AGRICULTURE </li></ul></ul><ul><li>AUTHORI Z ATION </li></ul><ul><ul><li>Child Nutrition Act, as amended, Section 17, 42 U.S.C. 1786 </li></ul></ul><ul><li>TY PES OF ASSISTANCE </li></ul><ul><ul><li>Formula Grants </li></ul></ul>categorical grant congressional authorization – War on Poverty programs granting agency CFDA grant #
  38. 38. WIC Program <ul><li>USES AND USE RESTRICTIONS </li></ul><ul><ul><li>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. </li></ul></ul>
  39. 39. WIC Program <ul><li>ELIGIBILITY REQUIREMENTS </li></ul><ul><ul><li>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. </li></ul></ul><ul><ul><li>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. </li></ul></ul>redistributive grants
  40. 40. WIC Program <ul><li>Formula and Matching Requirements </li></ul><ul><ul><li>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. </li></ul></ul>
  41. 41. WIC Program <ul><li>Reports </li></ul><ul><ul><li>Monthly report of participation, value of food or food instruments issued, operating expenses, and funds withdrawn from the Federal letter of credit. </li></ul></ul><ul><li>Audits </li></ul><ul><ul><li>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. </li></ul></ul>
  42. 42. WIC Program <ul><li>Records </li></ul><ul><ul><li>Full and complete records concerning program operations </li></ul></ul><ul><ul><ul><li>financial operations </li></ul></ul></ul><ul><ul><ul><li>food delivery systems </li></ul></ul></ul><ul><ul><ul><li>food instrument issuance and redemption </li></ul></ul></ul><ul><ul><ul><li>equipment purchases and inventory </li></ul></ul></ul><ul><ul><ul><li>nutrition education </li></ul></ul></ul><ul><ul><ul><li>civil rights </li></ul></ul></ul><ul><ul><ul><li>fair hearing procedures </li></ul></ul></ul>
  43. 43. Catalog of Federal Domestic Assistance Listing of All Federal Grant Programs
  44. 44. Major Changes Occurred Again in Federalism during the 1960s
  45. 45. Centralized Federalism 19 6 0s - Present <ul><li>War on Poverty Programs under presidents Kennedy and Johnson </li></ul><ul><li>Heavy use of formulas for grants </li></ul><ul><ul><li>Number of poor families </li></ul></ul><ul><ul><li>Number of substandard housing units </li></ul></ul><ul><ul><li>Statistics developed from census data </li></ul></ul><ul><li>Examples </li></ul><ul><ul><li>Head Start </li></ul></ul><ul><ul><li>Action </li></ul></ul><ul><ul><li>Community Development Block Grants </li></ul></ul>
  46. 46. Centralized Federalism <ul><li>New federal grants in the 1960s and 1970s required coordination with state and local governments </li></ul>Social Services Grants Infrastructure Grants Education Grants Federal Govt. State Govt. Local Govt.
  47. 47. Centralized Federalism <ul><li>The national government required state and local governments to meet national objectives of clean air and water and other objectives </li></ul><ul><ul><li>Clean Air Act of 1963 </li></ul></ul><ul><ul><li>Clean Water Act of 1972 </li></ul></ul>
  48. 48. Centralized Federalism <ul><li>Use of unfunded mandates </li></ul><ul><ul><li>State and local governments must meet the national objectives, but additional funding was not provided </li></ul></ul><ul><li>Use of crossover sanctions </li></ul><ul><ul><li>“ Meet the objectives or lose federal funding that the state governments had been receiving” </li></ul></ul><ul><li>Preemption -national government usurping state powers </li></ul>
  49. 49. Examples of Crossover Sanctions <ul><li>“ Carrot” and “Stick” approach </li></ul><ul><ul><li>The “carrots” are federal grant funds </li></ul></ul><ul><ul><li>The “stick” is the loss of existing federal grant funds </li></ul></ul><ul><li>Many of the crossover sanctions involve billions of dollars in federal highway funds </li></ul><ul><ul><li>Lower the speed limit on interstate and U.S. highways </li></ul></ul><ul><ul><li>Raise the legal age for alcohol consumption </li></ul></ul><ul><ul><li>Replace diesel buses with compressed natural gas buses </li></ul></ul>
  50. 50. Major Changes Occurred Again in Federalism during the 1980s
  51. 51. Devolved Federalism <ul><li>Rapidly increasing federal deficits at the time of budget surpluses in state governments </li></ul><ul><li>More of the burden for funding existing programs placed on state and local governments </li></ul>
  52. 52. Devolved Federalism <ul><li>Consolidation of categorical grant programs into block grant programs </li></ul><ul><ul><li>Welfare Reform Act of 1993 </li></ul></ul>
  53. 53. Today’s Federalism <ul><li>Every government function today involves at least two levels of government and more likely, three levels (national, state, and local) </li></ul><ul><ul><li>Education </li></ul></ul><ul><ul><li>Law Enforcement </li></ul></ul><ul><ul><li>Public Health </li></ul></ul><ul><ul><li>Public Welfare </li></ul></ul><ul><ul><li>National Defense </li></ul></ul><ul><ul><li>Transportation </li></ul></ul>
  54. 54. Today’s Federalism <ul><li>It is apparent that federalism has changed from a simple view in the 19 th century to a complicated arrangement in the 20 th and 21 st centuries </li></ul>