Legislative Oversight of Federal Funds 2013 · Executive branch agencies file yearly report: Total...
Transcript of Legislative Oversight of Federal Funds 2013 · Executive branch agencies file yearly report: Total...
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LEGISLATIVE OVERSIGHT OF FEDERAL FUNDS
NCSL Webinar 2013
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REASONS FOR REVIEW
Concern over increases in federal deficit
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REASONS FOR REVIEW
Concern over increases in federal deficit
Concern over increases in state obligations
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REASONS FOR REVIEW
Concern over increases in federal deficit
Concern over increases in state obligations
Legislative control of state budget
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REASONS FOR REVIEW
Concern over increases in federal deficit
Concern over increases in state obligations
Legislative control of state budget
Legislative control over policy issues
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NATIONAL OVERVIEWAPPROVAL OF FEDERAL FUNDS
General statutory approval processStatutory process for some typesApproval required but no strict processNo statutory process
0
10
20
30
40
34
States
Source: NCSL, Utah Office of Legislative Research and General Counsel
States requiring federal funds to be approved before accepted
or spent on a state level
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NATIONAL OVERVIEWAPPROVAL OF FEDERAL FUNDS
General statutory approval processStatutory process for some typesApproval required but no strict processNo statutory process
0
10
20
30
40
34
4States
Source: NCSL, Utah Office of Legislative Research and General Counsel
States requiring federal funds to be approved before accepted
or spent on a state level
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NATIONAL OVERVIEWAPPROVAL OF FEDERAL FUNDS
General statutory approval processStatutory process for some typesApproval required but no strict processNo statutory process
0
10
20
30
40
34
411
States
Source: NCSL, Utah Office of Legislative Research and General Counsel
States requiring federal funds to be approved before accepted
or spent on a state level
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NATIONAL OVERVIEWAPPROVAL OF FEDERAL FUNDS
General statutory approval processStatutory process for some typesApproval required but no strict processNo statutory process
0
10
20
30
40
34
411
5States
Source: NCSL, Utah Office of Legislative Research and General Counsel
States requiring federal funds to be approved before accepted
or spent on a state level
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LegislativeExecutive
Source: NCSL, Utah Office of Legislative Research and General Counsel
Balance of Power
Approval power generally vested in Legislative vs.
Executive branch
NATIONAL OVERVIEW APPROVAL OF FEDERAL FUNDS
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WHY SHOULD I CARE?
On average, 40% of total state revenue is federally sourced.
“Intergovernmental Financial Dependency”,
CliftonLarsonAllen, LLP, 2012
Top Five: South Dakota
(55.2%); Rhode Island (54.7%);
Louisiana (54.2%); Arizona (51.7%); Georgia (49.6%)
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MEANS OF CONTROL
MONITORING AND APPROVAL
Knowing commitments in advance
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MEANS OF CONTROL
MONITORING AND APPROVAL
Knowing commitments in advance
CONDITIONAL APPROPRIATIONS
Regulating use ofstate-appropriated funds
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UTAH’S PROCESS
1. Review grant applications
2. Attach intent language to
appropriations
3. Prepare contingency
plans
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GRANTS REVIEW
Primary Review Process During Annual Appropriations
FEDERAL FUNDS
Utah Code §63J-5-201
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GRANTS REVIEW
Primary Review Process During Annual Appropriations
Agencies submit grants to Governor’s budget office
FEDERAL FUNDS
Utah Code §63J-5-201
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GRANTS REVIEW
Primary Review Process During Annual Appropriations
Agencies submit grants to Governor’s budget office
Governor submits “federal funds request summary” to appropriations subcommittees
FEDERAL FUNDS
Utah Code §63J-5-201
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GRANTS REVIEW
Primary Review Process During Annual Appropriations
Agencies submit grants to Governor’s budget office
Governor submits “federal funds request summary” to appropriations subcommittees
Subcommittees approve and/or deny basedon grant detail
FEDERAL FUNDS
Utah Code §63J-5-201
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GRANTS REVIEW
Primary Review Process During Annual Appropriations
Agencies submit grants to Governor’s budget office
Governor submits “federal funds request summary” to appropriations subcommittees
Subcommittees approve and/or deny basedon grant detail
Executive committee may change sub-committee’s recommendation
FEDERAL FUNDS
Utah Code §63J-5-201
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GRANTS REVIEW
Primary Review Process During Annual Appropriations
Agencies submit grants to Governor’s budget office
Governor submits “federal funds request summary” to appropriations subcommittees
Subcommittees approve and/or deny basedon grant detail
Executive committee may change sub-committee’s recommendation
Whole Legislature appropriates
FEDERAL FUNDS
Utah Code §63J-5-201
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GRANTS REVIEW
LOW IMPACT GRANTUp to $1 mil from Feds
No permanent employees
No state match
FEDERAL FUNDSINTERIM PROCESS FOR NEW OR CHANGED GRANTS
GOVERNOR
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GRANTS REVIEW
LOW IMPACT GRANTUp to $1 mil from Feds
No permanent employees
No state match
MEDIUM IMPACT GRANT>$1 mil & <$10 mil from Feds
< 11 permanent employees
Up to $1 mil state match
FEDERAL FUNDSINTERIM PROCESS FOR NEW OR CHANGED GRANTS
GOVERNOR
EXEC CTTE
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GRANTS REVIEW
HIGH IMPACT GRANT$10 mil plus from Feds
> 10 permanent employees
> $1 mil state match
FEDERAL FUNDSINTERIM PROCESS FOR NEW OR CHANGED GRANTS
LEGISLATURE
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GRANTS REVIEW
HIGH IMPACT GRANT$10 mil plus from Feds
> 10 permanent employees
> $1 mil state match
Rules apply to unanticipated grants as well as previously approved grants that grow by more than 25%
FEDERAL FUNDSINTERIM PROCESS FOR NEW OR CHANGED GRANTS
LEGISLATURE
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LEGISLATIVE CONTROL
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LEGISLATIVE CONTROL
Congressional conundrum
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LEGISLATIVE CONTROL
Congressional conundrum
Contractual conundrum
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APPROPRIATIONS CONTROL
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APPROPRIATIONS CONTROL
“It is the intent of the Legislature that...
Intent Language
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Penalties for violating intent language
Threat of reduced appropriations / retaliation by Legislature
Direct enforceability is likely limitedIntent language < Statute
APPROPRIATIONS CONTROL
“It is the intent of the Legislature that...
Intent Language
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Intent language rules:Language must be directly connected to the appropriation
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Intent language rules:Language must be directly connected to the appropriation
Appropriate uses for intent language:
Specify the use of the appropriation for a specific program or purpose
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Intent language rules:Language must be directly connected to the appropriation
Appropriate uses for intent language:
Specify the use of the appropriation for a specific program or purpose
Designate appropriated funds as non-lapsing
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Intent language rules:Language must be directly connected to the appropriation
Appropriate uses for intent language:
Specify the use of the appropriation for a specific program or purpose (within the scope of the appropriation)
Designate specific appropriated funds as non-lapsing
Authorize or direct the expenditure of contingent revenues or internal service funds
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Intent language rules:Language must be directly connected to the appropriation
Appropriate uses for intent language:
Specify the use of the appropriation for a specific program or purpose (within the scope of the appropriation)
Designate specific appropriated funds as non-lapsing
Authorize or direct the expenditure of contingent revenues or internal service funds
Direct a government entity to perform a non-binding study and report to the Legislature
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APPROPRIATIONS CONTROL
Dangers of intent language
Limited enforceability
Easy target for “under the radar” legislation
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Intent language rules:
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Intent language rules:Prohibited intent language:
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Intent language rules:Prohibited intent language:
Enacts, amends, or repeals substantive law
Contradicts existing law
Creates a new program
Issues or requires the issuance of a contract or request for proposal
Awards a contract not specifically authorized by statute
Violates separation of powers provisions (e.g. Micromanages executive branch)
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A PAGE FROM THEIR PLAY BOOK...
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WHY INTENT LANGUAGE WORKS IN UTAH
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WHY INTENT LANGUAGE WORKS IN UTAH
We’re nice
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WHY INTENT LANGUAGE WORKS IN UTAH
We’re nice
Appropriations authority: Money = Power
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WHY INTENT LANGUAGE WORKS IN UTAH
We’re nice
Appropriations authority: Money = Power
Legislature and legislative leadership enforce it
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WHY INTENT LANGUAGE WORKS IN UTAH
We’re nice
Appropriations authority: Money = Power
Legislature and legislative leadership enforce it
Clear, mandatory process
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WHY INTENT LANGUAGE WORKS IN UTAH
We’re nice
Appropriations authority: Money = Power
Legislature and legislative leadership enforce it
Clear, mandatory process
Centralized financial entity
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BUDGET CONTINGENCIES
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Potential shortfall in revenues due to federalgovernment cuts
BUDGET CONTINGENCIES
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Potential shortfall in revenues due to federalgovernment cuts
Contingency plan for state financing in thecase of losses in federal funds
BUDGET CONTINGENCIES
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Making contingenciesNo contingencies yet
0
10
20
30
40
50
36
14
States
State Contingency Plans
Source: Utah Office of Legislative Research and General Counsel
Direct, informal poll of state legislatures
NATIONAL OVERVIEWBUDGET CONTINGENCIES
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Detalied planningPrepared impact estimatesPlanned for cutbacksSaving moneyThought about it
0
10
20
30
40
50
3 52 3 2
States
NCSL Survey
State planned responses to decreasing federal funds
Source: NCSL, Utah Office of Legislative Research and General Counsel
NATIONAL OVERVIEWBUDGET CONTINGENCIES
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BUDGET CONTINGENCIES
Executive branch agencies file yearly report:
2011 HB 138
AGENCIES
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BUDGET CONTINGENCIES
Executive branch agencies file yearly report:Total federal money receivedTotal federal money appropriated by Legislature% of budget that is federal moneyBudget plans for federal cuts at the 5% and 25% levels
Filed with state finance department
2011 HB 138
AGENCIES
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BUDGET CONTINGENCIES
Executive branch agencies file yearly report:Total federal money receivedTotal federal money appropriated by Legislature% of budget that is federal moneyBudget plans for federal cuts at the 5% and 25% levels
Filed with state finance department
State finance department:Prepares summary report showing grand totalsList of non-compliant agencies
2011 HB 138
AGENCIES
FINANCE
$
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BUDGET CONTINGENCIES
2011 HB 138
Report to Legislature’s Executive Appropriations Committee
FINANCE
$
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BUDGET CONTINGENCIES
Committee may:Call agencies to explain plansRecommend changes in legislative appropriations to the agency
2011 HB 138
Report to Legislature’s Executive Appropriations Committee
EXEC CTTE
FINANCE
$
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CONTINGENCY THROUGH RISK MANAGEMENT
INCREASE EXISTING RESERVE THRESHOLDS
Size of rainy day funds can cover revenue volatility
Can factor grant risk into revenue error rates
2012 SB 280
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FINANCIAL READY UTAH
Rainy Day Funds Caps (2013 HB195)
Federal Funds Commission (2013 SB70)
Local Government Contingency Planning (2013 HB205)
Local Government Rainy Day Funds (2013 SB158)
Legislative Federal Funds Forecast (2013 SJR7)
Gubernatorial Federal Funds Assessment (2013 SB2013)
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Jonathan Ball, Legislative Fiscal Analyst
Eric Weeks, Deputy General Counsel
Utah State Legislature
QUESTIONS?