The Staffing for Adequate Fire and Emergency Responders (SAFER) Grant Program: An Analysis of Fiscal Federalism and How Local Governments Utilize SAFER Grant Funding. Thomas J. Layou ABSTRACT This dissertation presents a comprehensive analysis of the Staffing for Adequate Fire and Emergency Responders (SAFER) grant program's impact on Virginia's local governments, emphasizing their fiscal strategies, emergency management practices, and demographic relationships. By incorporating theories of fiscal federalism and the political economy, this study explores how SAFER grants, provided by the FEMA, influence local tax policies, economic stability, and the staffing levels in fire and emergency medical service departments, against the backdrop of a critical need for enhanced public safety post the 9/11 terrorist attacks. The second chapter provides a review of the literature tracing the evolution of fiscal federalism from its roots in the political philosophies of the Federalist Papers to its contemporary interpretations and applications. The study found gaps in the literature, providing opportunities for further exploration of how the current scholarship has been built upon the different generations of fiscal federalism. This study seeks to contribute to the literature by examining the relationship that federal grants have with local governments' preparation for emergencies through their local fire and emergency medical service staffing. The dissertation constructs a novel dataset covering SAFER grant allocations, local tax rates, and fire and emergency medical service budgets across Virginia's cities and counties from 2016 to 2022. It evaluates the grants' effects on budgetary decisions and staffing levels, utilizing a methodological framework that includes regression analysis, correlation coefficients, and event series analysis. The third chapter focuses on the socio-political and economic determinants affecting the distribution of the SAFER grant funding, revealing that jurisdictions with higher median household incomes receive more funding, contrary to expectations that economically disadvantaged areas are prioritized. This chapter also highlights the disparities in resource allocation and examines the equitable distribution between volunteer and professional fire departments and the relationship of political leanings on fund allocation. The fourth chapter explores the SAFER grants within the principal-agent framework, investigating their impact on local government tax policy and economic stability. It explores whether SAFER grants lead to changes in local tax policies and how they contribute to fiscal stability, especially during crises such as the 2007-2008 financial crisis and the COVID-19 pandemic. The fifth chapter assesses the SAFER grants' effectiveness in increasing the number of full-time equivalent (FTE) employees and improving public safety. It scrutinizes whether these grants supplement or supplant local budgets and their broader implications for budget allocations and incident reduction, which tie closely with the federal government's national preparedness goals. This dissertation advances emergency management scholarship by offering new insights into the allocation of SAFER grants in Virginia and its impact. It provides a multifaceted understanding of how federal funding influences local emergency services, fiscal policies, and community welfare, contributing valuable knowledge for policymakers, grant administrators, and scholars interested in enhancing public safety and preparedness. / Doctor of Philosophy / The Staffing for Adequate Fire and Emergency Responders (SAFER) Grant Program: An Analysis of Fiscal Federalism and How Local Governments Utilize SAFER Grant Funding. Thomas J. Layou GENERAL AUDIENCE ABSTRACT This dissertation investigates how federal money, specifically the SAFER grants aimed at improving fire and emergency services, impacts local communities in Virginia. The SAFER grants are designed to provide a financial boost to a community's fire department in hiring more firefighters. This study goes beyond hiring to determine who receives the grant money and why. It examines if richer areas are more likely to receive funds than poorer ones. The study also considers whether a community's size or the number of emergencies they handle influences the amount of funding they receive. By analyzing the data from Virginia, this study sheds light on the process behind these grants. It finds that wealthier areas often receive more funding, supporting prior research and challenging the idea that such grants primarily benefit economically disadvantaged regions. Additionally, the study examines whether there exists a fair balance in funding between volunteer-based and professional fire departments and how politics may play a role in who receives more or less funding. Furthermore, this dissertation explores the ripple effects of the SAFER grants. It assesses whether these grants encourage local governments to adjust their spending and tax policies. The findings suggest that receiving a SAFER grant does not necessarily lead local governments to increase taxes or decreases spending in other areas. Instead, these governments appear to use these funds strategically to enhance public safety without overburdening local taxpayers. Ultimately, this dissertation not only provides valuable insights into the allocation and impact of the SAFER grants but also raises important questions about equity, fairness, efficiency, and the role of government at all levels in ensuring public safety.

This study sought to establish the critical underpinnings for the organisational effectiveness of regional integration institutions (RIIs). The interest arose out of a general observation of failure by RIIs in Africa to effectively achieve the objectives for which they were established. Informed by theories of organisational effectiveness, the study hypothesised that RIIs are likely to be effective in achieving the objectives for which they were established if the basic fundamentals of organisational effectiveness theory are embedded in their institutional structures, systems and processes. The East African Community (EAC) was used as a unit of analysis. A comparative analysis of the world's most advanced RII, the European Union (EU) was also undertaken. The findings revealed that the basic fundamentals of organisational effectiveness theory are only weakly ingrained in the EAC while deeply embedded in the EU. Recommendations were made on how the EAC could improve its organisational effectiveness. / PUBLIC ADMINISTRATION / MA (PUBLIC ADMINISTRATION)

The thesis is focused on the question of how responsibilities for the performance of public functions are assigned to levels or spheres of government. The term "public function" refers to the activities performed by governments in order to satisfy identified community needs. There is a paucity of validated knowledge concerning the particular phenomenon, and the purpose of the study is to make a research based contribution in this connection. Because of the exploratory nature of the study particular attention is paid to the orientation of the research in Public Administration terms, as well as to research design. A study of the assignment of responsibilities in a selection of foreign countries was undertaken, and the findings are recorded and evaluated. The conclusion reached is that in none of the countries studied a clear, comprehensive demarcation of governmental responsibilities has been achieved. Regarding South Africa, the thesis encompasses a historical overview, followed by separate analytical examinations of the arrangements set in place by the 1993 ("interim") and the 1996 ("final") Constitutions. In the pre-democratic era (1910 to 1994), ideological considerations patently played a prominent role. The treatment of the assignment question by the 1993 Constitution is found to have had substantial shortcomings, especially with regard to conceptual and technical aspects, the realisation of assignment principles, and the substance of assigned responsibilities. In the author's opinion a satisfactory deployment of responsibilities was not achieved. The 1996 Constitution improved the assignment scheme, notably through the better realisation of assignment principles, the introduction of exclusive powers for the provinces, and in dealing with the municipal domain. However, the 1996 Constitution also did not achieve a credible and clear-cut assignment of responsibilities. In assessing the degree to which a scientific approach to the assignment question is in evidence, the finding is that such an approach has not been established. A theoretical assignment model, following a Public Administration approach, is then presented. The model covers language, classification, assignment principles, and methodology. The thesis concludes with a reflection on the research, as well as on the practicalities of achieving improvement in the assignment of responsibilities. / Public Administration / D. Litt. et Phil. (Public Administration)

The thesis is focused on the question of how responsibilities for the performance of public functions are assigned to levels or spheres of government. The term "public function" refers to the activities performed by governments in order to satisfy identified community needs. There is a paucity of validated knowledge concerning the particular phenomenon, and the purpose of the study is to make a research based contribution in this connection. Because of the exploratory nature of the study particular attention is paid to the orientation of the research in Public Administration terms, as well as to research design. A study of the assignment of responsibilities in a selection of foreign countries was undertaken, and the findings are recorded and evaluated. The conclusion reached is that in none of the countries studied a clear, comprehensive demarcation of governmental responsibilities has been achieved. Regarding South Africa, the thesis encompasses a historical overview, followed by separate analytical examinations of the arrangements set in place by the 1993 ("interim") and the 1996 ("final") Constitutions. In the pre-democratic era (1910 to 1994), ideological considerations patently played a prominent role. The treatment of the assignment question by the 1993 Constitution is found to have had substantial shortcomings, especially with regard to conceptual and technical aspects, the realisation of assignment principles, and the substance of assigned responsibilities. In the author's opinion a satisfactory deployment of responsibilities was not achieved. The 1996 Constitution improved the assignment scheme, notably through the better realisation of assignment principles, the introduction of exclusive powers for the provinces, and in dealing with the municipal domain. However, the 1996 Constitution also did not achieve a credible and clear-cut assignment of responsibilities. In assessing the degree to which a scientific approach to the assignment question is in evidence, the finding is that such an approach has not been established. A theoretical assignment model, following a Public Administration approach, is then presented. The model covers language, classification, assignment principles, and methodology. The thesis concludes with a reflection on the research, as well as on the practicalities of achieving improvement in the assignment of responsibilities. / Public Administration and Management / D. Litt. et Phil. (Public Administration)

The historic year of 1994 marked the demise of the apartheid government and its replacement with a new era of participative democracy in South Africa. Government in the new South Africa adopted a decentralised structure underpinned by chapter three of the Constitution (1996). Consequently, there are three spheres of government, which are, national, provincial and local levels. These spheres are obliged and mandated to mutually cooperate and support each other through peaceful interactions termed intergovernmental relations (IGR) which are aimed at achieving a cooperative system of government. IGR is institutionalised through forums which cut-across all spheres of government and such structures are established by the Intergovernmental Relations framework Act (No. 13 of 2005). Sustained intergovernmental cooperation can lead to an integrated and coordinated system of government, which can, deliver services effectively while meeting the needs of the citizens and ultimately promoting sustainable socio-economic development in South Africa.The aim of this empirical study was to assess the role played by cooperativegovernment and intergovernmental relations in promoting effective delivery of services in the Amathole District Municipality (ADM). Local government is the ‘grassroots’ government and it is where the actual rendering of services is situated which was reason behind the choice of the study area by the researcher. The study adopted amixed-method research paradigm in which both the quantitative and qualitative research paradigms were triangulated to ensure that the validity and reliability of the research findings is improved. Data in the study was gathered from a representative sample of seventy (70) respondents carefully selected using non-random sampling designs, viz, judgmental and snowball sampling. The study used both primary (questionnaires and interviews) and secondary (documentary analysis) sources of data to achieve the research objectives as validly as possible. Respondents in the study comprised of municipal officials, IGR practitioners, representatives from Community Based Organisations and the residents of ADM. Data analysis was done using the Statistical Package of Social Sciences (SPSS) software and the mains findings of the study were that; ADM has got IGR forums in existence although some of these are dormant and dysfunctional, only three out of the seven local municipalities in ADM are cooperative in IGR, there is general lack of political will on the side of politicians in terms of support of IGR initiatives, political factionism and interferences is crippling IGR and cooperation, the legal framework for IGR needs revision and revamping, there are still communities without access to basic services in ADM, public sector planning cycles are fragmented and need synergisation and IGR is not being monitored and evaluated. The study therefore recommended that; the relevant stakeholders in IGR should be fully dedicated towards cooperation, planning cycles for public entities need to be synergised, the National Planning Commission (NPC) should take an oversight role in the entire planning process, the legislation should be enacted which has a clause for punitive action being taken against those who fail to cooperate in IGR and the national, provincial and local governments should prioritise access to basic services in communities cooperatively.

Submitted by Martina Bergues (martina.bergues@hotmail.com) on 2017-04-15T00:10:30Z No. of bitstreams: 1 Dissertação_CMAPG_Martina Bergues_13.04.pdf: 1613618 bytes, checksum: 01896c216cea4636378a9dab215f51c1 (MD5) / Approved for entry into archive by Pamela Beltran Tonsa (pamela.tonsa@fgv.br) on 2017-04-17T12:17:31Z (GMT) No. of bitstreams: 1 Dissertação_CMAPG_Martina Bergues_13.04.pdf: 1613618 bytes, checksum: 01896c216cea4636378a9dab215f51c1 (MD5) / Made available in DSpace on 2017-04-17T12:38:02Z (GMT). No. of bitstreams: 1 Dissertação_CMAPG_Martina Bergues_13.04.pdf: 1613618 bytes, checksum: 01896c216cea4636378a9dab215f51c1 (MD5) Previous issue date: 2017-03-08 / The purpose of this research is to understand the dynamics of intergovernmental relations in the process of implementing a federal program at a local level, for a closer look at the day to day shared management of policies which involve more than one level of government. Although intergovernmental relations refer to a series of public actors, this analysis focuses on the roles and responsibilities of state bureaucrats in intergovernmental management, paying attention to its activities, attitudes and perceptions in the interaction process established with the federal government. In this work we will study this dynamic in the management of the Program My Home My Life (Programa Minha Casa Minha Vida - PMCMV) in the State of Sao Paulo, based on a partnership created between the federal and state governments for the implementation of PMCMV on State land. Accordingly, we shall study the process which led the Sao Paulo State Government to contribute its own financial resources to supplement the federal subsidy thereby rendering the PMCMV project feasible on São Paulo. Furthermore, we shall examine the negotiations related to alterations in the original design of the program, such as an increase in the size of the housing units. The role played by the Paulista Social Housing Agency (Agência Paulista de Habitação Social - Casa Paulista) is essential in this process, taking the form of the organizational structure which negotiated the partnership with the federal government. Based on interviews with managers of the Paulista Social Housing Agency in charge of running the program, we shall attempt to understand the dynamic of intergovernmental relations in the implementation process, based on two elements: (i) the negotiating process undertaken, especially with a view to strategies mobilized for gearing the program to local interests; and (ii) the way in which managers perceive the interactions and the types of links established with federal bureaucracies in this process. We shall study how bureaucrats perceive pre-defined federal programs, particularly if they understand federal programs as an opportunity to negotiate adjustments for the local level. Generally speaking, this dissertation is based on the idea that institutional arrangement in the area of housing and specific PMCMV regulations provide the general framework within which interactive links develop between sub-national bureaucracies and their federal counterparts. It is understood, therefore, that PMCMV regulations and legacies within the area of housing affect the way in which bureaucracies act and perceive established intergovernmental links. Special attention shall be given in this discussion to the relationship which the PMCMV established with the remaining housing policies, becoming the policy drawn up and executed outside the rationale of the Social National Housing System. This particularity of the PMCMV suggests that negotiations and agreements throughout the Program’s shared management may have taken place, to a large degree, outside the institutional parameters of a system, forming more informal patterns of interaction between bureaucracies. / Esta pesquisa busca compreender a dinâmica das relações intergovernamentais no processo de implementação de um programa federal executado localmente, através de uma aproximação com o cotidiano da gestão compartilhada de políticas que envolvem mais de um nível de governo. Embora as relações intergovernamentais se refiram a uma série de atores públicos, a análise aqui elaborada centraliza os papéis e responsabilidades das burocracias estaduais na gestão intergovernamental, atentando-se para suas atividades, atitudes e percepções sobre o processo de interação estabelecido com o governo federal. Neste trabalho estudaremos essa dinâmica na gestão do Programa Minha Casa Minha Vida (PMCMV) no Estado de São Paulo, a partir da parceria realizada entre o governo federal e o governo estadual para implementar o PMCMV no território paulista. Nesta direção, estudaremos o processo que levou o Governo do Estado de São Paulo a aportar recursos financeiros próprios para complementar o subsídio federal e, dessa forma, viabilizar o PMCMV. Ademais, investigaremos as negociações que dizem respeito a alterações nas especificações originais das unidades habitacionais, tal como o aumento do seu tamanho. A figura da Agência Paulista de Habitação Social – Casa Paulista foi essencial neste processo, configurando-se como a estrutura organizacional que negociou a parceria com o governo federal. Partindo de entrevistas com os gestores encarregados do programa na Agência Casa Paulista, buscaremos compreender a dinâmica das relações intergovernamentais no processo de implementação, levando em conta dois elementos: (i) o processo de negociação empreendido, especialmente olhando as estratégias mobilizadas para ajustar o programa aos interesses locais; e (ii) a percepção que os gestores possuem sobre as interações e sobre os tipos de vínculos estabelecidos com as burocracias federais neste processo. Em especial, estudaremos de que forma, na percepção e atuação de tais burocratas, a adesão a um programa federal com normativas já definidas se configura como uma oportunidade para realizar ajustes por meio de negociações federativas. De forma geral, parte-se da ideia de que os arranjos institucionais da área da habitação e as regras específicas do PMCMV fornecem o quadro geral dentro do qual se desenvolvem os vínculos de interação entre as burocracias subnacionais e suas contrapartes federais no caso estudado. Entende-se, então, que as regras do PMCMV e os legados da área da habitação afetam a forma com que as burocracias atuam e percebem os vínculos intergovernamentais estabelecidos. Dentro desta discussão, especial atenção será dada à relação que o PMCMV estabeleceu com o restante das políticas de habitação, conformando-se como uma política elaborada e executada fora da lógica do Sistema Nacional de Habitação de Interesse Social. Esta singularidade do PMCMV sugere que as negociações e pactuações existentes ao longo da gestão compartilhada do programa podem ter se dado, em grande parte, fora da institucionalidade de um sistema, configurando padrões mais informais de relação entre as burocracias.

South Africa adopted the democratic decentralisation governance model in 1994 with the aim of improving, inter alia, service delivery. The adoption of this model resulted in the establishment of three spheres of government, namely, national, provincial and local. These three government spheres are distinctive, interdependent, interrelated and autonomous. Power and responsibilities are devolved from the national to the provincial and then to the local government spheres. Cooperative government and intergovernmental relations structures in the three spheres of government were established in order to improve service delivery and to assist in the execution of the devolved powers. However, the results of this study revealed that the structures which had been established were not effective in addressing the housing challenges facing the Bushbuckridge Local Municipality (BLM). The results also revealed that each government sphere executed its housing mandatory responsibilities only when a housing project was launched or implemented in the BLM. During housing project implementation, the BLM was responsible for evaluation, the Mpumalanga Provincial Department of Human Settlements (MPDHS) was responsible for contracting a housing service provider and for payments while the National Department of Human Settlements (NDHS) was responsible for quality of the houses and compliance to national housing standards. In addition, the BLM had an inspection unit and the NDHS was supposed to work closely with the National Home Builders Registration Council (NHBRC). However, the houses provided had defects ranging from cracked walls and floors, leaking roofs, leaking pipes to fading paint. The main role of the NHBRC is to check the quality or adequacy of public houses before they are allocated to the targeted beneficiaries. / Public Administration / D. Admin. (Public Administration)

This study sought to establish the critical underpinnings for the organisational effectiveness of regional integration institutions (RIIs). The interest arose out of a general observation of failure by RIIs in Africa to effectively achieve the objectives for which they were established. Informed by theories of organisational effectiveness, the study hypothesised that RIIs are likely to be effective in achieving the objectives for which they were established if the basic fundamentals of organisational effectiveness theory are embedded in their institutional structures, systems and processes. The East African Community (EAC) was used as a unit of analysis. A comparative analysis of the world's most advanced RII, the European Union (EU) was also undertaken. The findings revealed that the basic fundamentals of organisational effectiveness theory are only weakly ingrained in the EAC while deeply embedded in the EU. Recommendations were made on how the EAC could improve its organisational effectiveness. / PUBLIC ADMINISTRATION / MA (PUBLIC ADMINISTRATION)

The interim Constitution and the 1996 South African Constitution are products of a compromise between various political parties, mainly those that advocated for a unitary system, for example the African National Congress (ANC) and the Pan Africanist Congress (PAC) were the leading proponents , anti the parties that advocated for a federal constitution, the significant ones being the Inkatha Freedom Party (lFP), the National Party (NP) and the Democratic Party (DP). The interim Constitution and the 1996 South African Constitution contain both unitary and substantial federal characteristics. The study deals with the origins of the federal idea and how the concept federalism is understood and applied internationally, and draws out some key characteristics that are common in federal constitutions so as to measure the interim Constitution and the 1996 South African Constitution against such common characteristics. The conclusion deals with recommendations of how the substantial federal characteristics could be effectively managed through intergovernmental relations / Political Science / M.A. (African Politics)

This thesis examines regional integration in Southern Africa and the evolution of SADC. Regional developments are evaluated with the yardsticks of integration theory, against the background of international regionalisation, and in terms of the region's practical record, its rhetoric and future agenda. The extent to which economic integration is progressing, is determined, after which the thesis focuses on political integration within SADC - both de Jure and de facto. Finally, developments within the region are evaluated in light of normative prerequisites for increased political integration. The thesis finds that the integration process in SADC does not fit into traditional integration theory, and concludes that successful economic integration in the region is not necessarily a prerequisite to political integration, but would facilitate it. The research finally concludes that there is evidence of embryonic political integration within SADC, which will wane or grow depending primarily on the political will of its constituents / Political Science / M.A. (Politics)