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Ppt2.pptxThe coronavirus pandemic presents a deep impact on all societies. To mitigate the spread of the virus, governments have enacted policies and regulations. Value trade-offs are present in any decision that pose unprecedented challenges for governance. For instance, policymakers need to strike a balance between health and safety and economic development, individual freedom and collective interest, transparency and privacy, efficiency and equity, and so on so forth. How do you think this pandemic affects public value governance? And more important, how do the competing values in this pandemic have an impact on Public Administration?
DDl, late penalty, rubric (please check the syllabus and Canvas-assignment-essay)
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Intergovernmental Relations and Collaborative Governance
PAD 3003 Public Administration in American Society
Week 12
Types of Government
Unitary Government: A system allows ultimate governmental authority to rest in the national or central government, e.g., France, Finland, Singapore, South Korea, and China.
Confederation: A system of independent states in which a central government handles only those matters of common concern expressly delegated to it by the member states, e.g., EU and the U.S. between 1778-1787 under the Articles of Confederation.
Federal Government: A system that lies between the unitary and confederate forms of government (a hybrid). In a federal system, authority is divided between a central government and regional, or sub-divisional governments, e.g., Switzerland, Germany, and Russia.
Advantages of A Federal Government
Diversity and experimentation in policy
Provide a more considered and viable policy outcome
Consider the different ethnic or cultural groupings
Encourages regional participation in governance
American Federal System
What about the potential disadvantages?
When it comes to United States…
Different lifestyles?
Different foods?
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Source: https://allthatsinteresting.com/maps-that-explain-america#33
When it comes to United States…
Different lifestyles?
Different industries?
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Source: https://allthatsinteresting.com/maps-that-explain-america#33
When it comes to United States…
Different lifestyles?
Different industries?
Different dating locations?
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Source: http://dish.andrewsullivan.com/2013/02/21/the-saddest-map-in-america/
When it comes to United States…
Different lifestyles?
Different industries?
Different dating locations?
Different policy issues?
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Source: https://allthatsinteresting.com/maps-that-explain-america#33
American Federal System
State Divided: American federalism for COVID-19
The decisions in each state were not just reactions to the virus but were embedded in a far longer and much wider policy stream.
Theses decisions clustered in important ways, with groups of states following different tactics.
For example: lockdown decision
Source: https://onlinelibrary-wiley-com.proxy.lib.fsu.edu/doi/pdfdirect/10.1111/puar.13243
One is that the governors’ decisions would be built on evidence from public health experts. The other is that these decisions would, instead, flow from the broader stream of public policy decisions over the years.
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American Federal System
Intergovernmental Friction
The outbreak of COVID-19 has laid bare a trio of fundamental— and fundamentally important—issues at the core of modern American democracy:
the relationship between the federal government and the states
the relationship among the states
the relationship between the state governments and their localities.
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American Federal System
Some states reported only tests that produced positive results.
Some states included negative tests, while others (including Maryland and Ohio) did not.
Some states had a significant lag in reporting test results, and some states were reluctant to report test results at all.
Some states reported results different from public and private labs.
The intergovernmental confusion meant that it was impossible to get a full and accurate picture of the disease, its spread, and its health implications.
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Definition: Constitutional division of governmental power between a central, national government and a set of regional units.
Basically, relations between different levels of government (federal, state, and local).
The national and state governments have both independent and shared powers over their citizens.
Federalism encourages governments to protect their spheres of power and domains of policy influence.
Citizens live in jurisdictions that share overlapping membership with multiple governments.
What is Federalism?
Four phases:
Dual federalism (1787-1930s)
Cooperative federalism (1937-1950s)
Creative or regulated federalism (1965-1969)
New federalism (1970s-present)
Four Phases of Federalism
Layer cake (Dual federalism)
Separate and distinct areas of authority between national, state, and local government
National government focuses on national defense, international relations, and regulating interstate commerce.
State governments are responsible for overseeing education and infrastructure such as building bridges and roads.
Local governments are responsible for public safety, waste removal, and emergency services
For example: tax revenue
Types of Federalism Models (1)
Layer Cake Model
Marble Cake Model
Marble cake (Cooperative federalism)
Governmental responsibilities are, at times, swirled or mixed; no distinct layers of responsibility
For example, while defense would still fall under the domain of the national government, education could potentially involve all three layers of government.
Types of Federalism Models (2)
Picket Fence Model
Picket fence (Creative federalism)
Picket fence federalism is a more refined and realistic form of cooperative federalism in which policy makers within a particular policy area work together across the levels of government.
Characterized by close fiscal relationships among levels of government.
Suggests that allied bureaucrats at different levels of government—vertical functional autocracies— exercise considerable power over intergovernmental programs.
For example: FEMA
Types of Federalism Models (3)
Picket Fence Model
Picket fence (Creative federalism)
Modern federalism is better represented by a picket fence metaphor, as the lines of authority and patterns of cooperation are not as messy as those implied by the “marble cake.”
The recognition that public servants from all levels of government have similar policy concerns regardless of government level.
The pickets represent policy areas that tie together bureaucratic specialists throughout the various levels of government.
Types of Federalism Models (3, cont.)
New Federalism
Devolution is the process of transferring governmental authority from national governments to state and local governments.
Devolution has found much support because:
Eliminates “one-size-fits-all” programs;
Allows sub-national governments to tailor policies and programs to their own unique populations;
Sub-national governments are often more accountable;
Spurs competition, experimentation, and innovation in public sector;
Eliminates dependency on national government.
Types of Federalism Models (4)
The collaborative dynamic, or working relationships, that exist among all levels of government – federal, state, and local.
Intergovernmental relations could be vertical and horizontal:
Vertical: Federal-state and state-local
Horizontal: State-state and interlocal
Intergovernmental Relations
State-Local Relation
Various types of local governments
County, cities, town, township, special district
Cities are ruled under the state’s laws but granted some power and autonomy
Dillon’s Rule: State legislature were supreme over cities.
Home rule: The power vested in local units of government- most cities- to carry on their affairs with a minimum of external legislative or administrative control.
Form of government:
Mayor-council form: Separately elected legislature and chief executive (Presidentialism)
Council-manager form: Like parliamentary system without independent executive, but legislature appoints the chief of the executive branch, the city manager or chief administrative officers (CAO)
Vertical Intergovernmental Relation
The Constitutional doctrine of supremacy states that when laws passed by a lower level of government conflict with those at a higher level of government, then the lower law is null and void.
The order of succession of governments in the US is:
Constitution itself
Federal government
State governments
Counties and parishes
Municipalities
Constitutional Doctrine of Supremacy
State-State Relation
Interstate compacts or agreements: permitted in the Constitution Article 1 Section 10 but prohibit them from entering into treaties with foreign nations
Establishment of regional commissions:
E.g., the Delta Regional Authority
“improve regional economic opportunity by helping to create jobs, build communities, and improve the lives of the 10 million people who reside in the 252 counties and parishes of the eight-state Delta region.”
Horizontal Intergovernmental Relation
Municipalities make agreements with other municipalities to share in the provision of some services to reduce costs and ease the tax burden on their citizens, while doing away with duplicative services, enhancing responsiveness.
Types of Shared Services:
Sharing personnel (e.g., certified assessor, municipal finance officer, zoning officer)
Sharing equipment (e.g., ditch master)
Sharing internal services (e.g., shared animal shelter)
Sharing external services
External services refer to agreements in which one government unit consents to provide essential services to another that no longer provides such services
e.g., Regional fire and police, public works departments, and waste disposal
Interlocal Shared Service Agreements
Advantages of inter-local shared government
Cost savings: Do more for less
Efficient public organizations: Reduce duplicative services
Service Effectiveness: Bolster citizens’ trust through improved government responsiveness
Obstacles of inter-local shared government
Opposed by tenured government employees
Opposed by residents because of insufficient information regarding the potential benefits
Local officials may fear losing total control over specific service areas
Interlocal Shared Government
Efficiency and effectiveness could become improved due to competition
Competing for contract against another
Competing for contract against the private sector
Different values behind the choices of sectors and need to balance between them
Privatization (private sector): profit oriented; efficiency
Public sector: to be responsive to the public; effectiveness
Competition in Public Service Delivery
Competitive Federalism
It deals with competition among units of government (between states and local jurisdictions). Citizens are capable to vote with their feet:
When economically feasible, individuals have freedom to live where specific services are provided or where a certain degree of service quality is provided.
For example, families with children will move to cities that offer good public education, while empty nesters or singles will move to cities where school taxes are low.
Public vs. Private
Contract in: Governments winning back contract bids from private firms
Contract out: Due to a lack of expertise and improved efficiency
Public vs. Public
Governments competing for service contracts
Competition in Public and Private Sectors
Purpose of the article
To determine what factors lead stakeholders to collaborate and become invested in the collaboration
What is collaborative governance? And is it different from public private partnership?
Ansell and Gash (2007)
Collaborative Governance in Theory and Practice (Ansell & Gash, 2007)
Definition of collaborative governance:
A governing arrangement where one or more public agencies directly engage non-state stakeholders in a collective decision-making process that is formal, consensus-oriented, and deliberative and that aims to make or implement public policy or manage public programs or assets.
Governance:
Applies to laws and rules that pertain to the provision of public goods
collective decision making—and specifically about collective decision making that includes both public and private actors.
A type of governance in which public and private actors work collectively in distinctive ways, using particular processes, to establish laws and rules for the provision of public goods.
Collaborative Governance (Ansell & Gash)
Defining Collaborative Governance
6 important criteria
Forum initiated by public agencies or institutions
Participants in the forum include nonstate actors
Participants engage directly in decision making and are not merely consulted by public agencies
Forum is formally organized and meets collectively
Forum aims to make decisions by consensus (even if consensus is not achieved in practice)
Focus on collaboration is on public policy or public management
Collaborative governance is therefore a type of governance in which public and private actors work collectively in distinctive ways, using particular processes, to establish laws and rules for the provision of public goods.
Ansell and Gash (2007)
Power/Resource Imbalances
There are significant power/resource imbalances between stakeholders;
Manipulation by stronger actors -> lower distrust/ weaker commitments;
Proposition 1: Effective collaborative governance requires a commitment to a positive strategy of empowerment and representation of weaker or disadvantaged stakeholders.
Incentives to Participate
Issues about power distribution, tangible/intangible results, probability of success, participation process, as well as perception of interdependency
Proposition 2a: If alternative venues exist where stakeholders can pursue their goals unilaterally, then collaborative governance will only work if stakeholders perceive themselves to be highly interdependent.
Proposition 2b: If interdependence is conditional upon the collaborative forum being an exclusive venue, then sponsors must be willing to do the advance work of getting alternative forums (courts, legislators, and executives) to respect and honor the outcomes of collaborative processes.
Starting Conditions of Collaboration (Ansell & Gash)
Prehistory of Antagonism and Cooperation
Conflict reflects the lower level of trust
High conflict per se is not necessarily a barrier to collaboration
Conflict could be costly for both sides of the disputes.
Proposition 3: If there is a prehistory of antagonism among stakeholders, then collaborative governance is unlikely to succeed unless (a) there is a high degree of interdependence among the stakeholders or (b) positive steps are taken to remediate the low levels of trust and social capital among the stakeholders.
Starting Conditions of Collaboration (cont.)
The basic protocols and ground rules for collaboration, which are critical for the procedural legitimacy of the collaborative process.
Actively seek to encourage broad participation
The exclusiveness of collaborative forum
Process transparency could increase procedural legitimacy and trust building
Facilitative leadership
Setting and maintaining clear ground rules, building trust, facilitating dialogue, and exploring mutual gains
Proposition4: Where conflict is high and trust is low, but power distribution is relatively equal and stakeholders have an incentive to participate, then collaborative governance can successfully proceed by relying on the services of an honest broker that the respective stakeholders accept and trust. This honest broker might be a professional mediator.
Proposition5: Where power distribution is more asymmetric or incentives to participate are weak or asymmetric, then collaborative governance is more likely to succeed if there is a strong ‘‘organic’’ leader who commands the respect and trust of the various stakeholders at the outset of the process. ‘‘Organic’’ leaders are leaders who emerge from within the community of stakeholders. The availability of such leaders is likely to be highly contingent upon local circumstances.
Institutional Design and Leadership (Ansell & Gash)
Collaboration is a cyclical/iterative rather than linear process:
Face to face dialogue: the heart of building trust, mutual respect, shared understanding, and commitment to the process
Trust building: If the prehistory is highly antagonistic, then policy makers or stakeholders should budget time for effective remedial trust building. If they cannot justify the necessary time and cost, then they should not embark on a collaborative strategy.
Commitment to the process: Need mutual recognition; ownership of the process and shared responsibility. Even when collaborative governance is mandated, achieving ‘mutual gains’ is still an essential aspect of the collaborative process.
Shared Understanding: As part of a larger ‘‘collaborative learning process’’ which parties agree on common mission, common objectives, shared vision
Intermediate outcomes (small wins): If prior antagonism is high and a long-term commitment to trust building is necessary, then intermediate outcomes that produce small wins are particularly crucial. If, under these circumstances, stakeholders or policy makers cannot anticipate these small wins, then they probably should not embark on a collaborative path.
Collaborative Process (Ansell & Gash)
The intergovernmental relationships could be categorized as vertical and horizontal or could be classified as competitive and collaborative (as the table shown). Could you use real-world examples of governmental programs or policies to fill in the table
Collaborative Governance
Why might lower-level governments (states, counties, or municipalities) need aid from upper-level governments (national or states)?
Weak economic bases from which to generate revenue
“Fiscal mismatch”—differences in the capacities of various governments to raise revenues, in relation to those governments’ respective abilities to pay for public services they are responsible for delivering
Inadequate resources or expertise
Inordinate complex demands which lower governments alone cannot meet
Unexpected events which could undermine the stability of a government or threaten the security of its residents
Intergovernmental Aid
The most common form of intergovernmental aid is fiscal.
Grants-in-aid: Money payments from a higher to a lower government to be used for specified purposes under specific conditions
Categorical grants designate particular categories of expenditure (e.g., if the national government gives a categorical grant to a state for highway construction, then that state is required to use that money in a way deemed appropriate by the agency that grated it)
Block grants provide a lump sum of money to the states, similar to categorical grants but allow lower governments to retain considerable discretionary authority
General revenue sharing: Portion of tax revenue returned to state and local governments – no strings attached; allows lower governments to retain discretionary authority
Types of Aid
Categorical grants
Federal funds that are to be used for specific purposes; clearly defined for how funds are used; popular under the Johnson administration’s Great Society programs. E.g., food stamps (see next slide).
Block grants
Federal funds that can be used for a wide range of programs
Designed to give states and local governments more autonomy; first used in the Nixon administration
TANF is an example of a block grant whereby federal funds are provided to states who determine their own eligibility requirements and regulations
The Temporary Assistance for Needy Families (TANF) program is designed to help needy families achieve self-sufficiency. States receive block grants to design and operate programs that accomplish one of the purposes of the TANF program.
Two Types of Federal Grants
The Supplemental Nutrition Assistance Program (SNAP), formerly known as the Food Stamp Program, provides food-purchasing assistance for low- and no-income people living in the United States.
SNAP benefits cost $70.9 billion in fiscal year 2016 and supplied roughly 44.2 million Americans (14% of the population) with an average of $125.51 for each person per month in food assistance.
The amount of SNAP benefits received by a household depends on the household's size, income, and expenses.
The SNAP-eligible gross monthly income is $1,245 or less for an individual. For a household of 4, the SNAP eligible gross monthly income is $2,552 or less.
Eligible purchase: fruits and vegetables; breads and cereals; dairy products; meats, fish and; poultry.
Ineligible purchase: Wine, beer, liquor, cigarettes or tobacco; soaps, paper products, deodorant household supplies, and pet foods; Hot foods; Food items that are consumable in the store; Vitamins and medicines.
An Example: Food Stamps
Categorical grants
Pro: Regulation, equal share to all those at a specific line
Con: Less freedom for states on what to use money on (specific foods for example), same quality maybe not best food, must use money in a specific way for each person in program
Block grants
Pro: More freedom for states to improve quality or reach out to more children depending on access
Con: Access, number of meals, quality, ability to respond to increase need, cutting funding (block grants can be cut slightly easier)
Pros and Cons of Categorical and Block Grants
Purposes of national grants-in-aid:
Establish minimum nationwide standards for programs
Equalize resources among states
Improve state and local program delivery
Increase public services without enlarging scope of national government
Advantages of grant-in-aid programs:
Increase degree of concerted action on policy problems
Allow minorities in states and localities to opportunities for national support for their policy preferences
Useful for addressing nationwide problems
Create positive externalities on a broader level
Grants-in-Aid
From an economic perspective:
The need for uniformity
Uniform rules for interstate commerce -> one large national market
Direct spillovers (interdependency between states)
Air pollution, communicable disease
The effects of policy-induced mobility
Due to the fear of welfare-induced migration, state government would run to the bottom in social policy
Inequality of resources
Some states are poorer than the average, while others may be affluent.
Wrap-Up: Why Does the Upper-Level Help?
know the basic concepts of collaborative government and intergovernmental relations;
understand the potential benefits and costs of collaboration in public service delivery;
understand how to assess governance networks in a democratic society.
After this class, you should
Next session
Data, Technology and Public Administration
Required readings:
Textbook, Chapter 12 Existing Data, Big Data, and Analyzing
Textbook, Chapter 13 Technology and Public Administration
Assignment:
Essay is due by 11:59 pm on 11/18/2022
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