Legislative Politics Chap 9 11


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  • The Answer is? Senators Who Received the Nobel Peace Prize   Member Dates of Service Year Received Al Gore * 1985-1993 2007 Cordell Hull 1931-1933 1945 Frank Kellogg 1917-1923 1929 Elihu Root 1909-1915 1912 * Vice President 1993-2001. Vice Presidents Charles Dawes (1925) and Theodore Roosevelt (1906) were also Nobel Peace Prize recipients. Woodrow Wilson for his Presidential roll with the League of Nations and Jimmy Carter for his Presidential role on the Mid-East Peace Accords
  • Kingdon’s & Exchange cues
  • Kingdon’s & Exchange cues
  • Legislative Politics Chap 9 11

    1. 1. Legislative PoliticsPOLS 4211 Chap. 9, 10, 11 1
    2. 2. Deliberation In Congress (9)• Quid-pro-quo – Leadership may use ‘Carrot-and-stick’ approaches – Use of earmarks and leadership roles to garner votes – Absenteeism: • Stack votes during the middle of the wee • Pairing = member may not be able to vote in person and they can announce their views in floor statements, press releases or via pairing with someone on the opposite side of an issue (voluntary arrangement that allows members to go on record without voting or affecting the final tabulation 2
    3. 3. Bargaining• Implicit bargaining – Legislative action designed to elicit reactions • No previous negotiation may have taken place • May accept objectionable amendment with the belief that it will not make it out of the other house • “Exchanging cues” - Accept judgments of senior/leader members – Expect to be leaders themselves one day• Explicit Bargaining – Quantitative measures more easily compromised 3
    4. 4. Bargaining- 2• Logrolling: – Bargaining in which the parties trade off support so that each may gain its goal. – Legislators are expected to support passage of the final package – Hostile fiscal environment, logrolling is often aimed at equalizing sacrifices instead of distributing rewards• Christmas Tree Bill – Informal nomenclature for a bill on the Senate floor that attracts many, often unrelated, floor amendments. The amendments which adorn the bill may provide special benefits to various groups or interests. • Something for everyone! 4
    5. 5. Votes Mean What?• “I voted for…it before I voted against it.”• Votes do not necessarily member’s views – May vote for a “modest” bill in fearing that a more extreme version may pass – Procedural vs. substantive votes • May vote ‘for’ authorizing a program and vote ‘against’ funding it • Strategic Waiting = wait until a measure fails and then vote for it or when it doesn’t matter (vote with the party or make sure to vote with constituents unless it matters) 5
    6. 6. Determinants of Voting - 1• Party ID & Voting Patterns (Figure 9-1)• Party affiliation is the strongest single correlate of members’ voting decisions, and in recent years it has reached surprisingly high levels• Aprox. 50%-70% of floor votes = party unity votes & is trending UPWARD since 1970 – 109th Congress Party Unity votes • House = 52% • Senate = 60% 6
    7. 7. Determinants – 1, cont• Unified & Divided Party Control of Govt – From 1901-1955 • Divided Govt - Only 3 times – 1911-1913 House was Democrat (WW elected 1913 and Dems control govt until 1919) – 1919-1921 Dems controlled Senate – 1931-1933 Dems controlled House – 1947-1949 Dems controlled President (Truman) – 1955-2011 • Un-Divided Govt – Only 10 times – 1961-1963; 1963-1965; 1965-1967; 1967-1969 – 1977-1979; 1979-1981 – 1993-1995 – 2001-2003; 2005-2007; 2009-2011 7
    8. 8. Determinants of Voting - 2• Ideology & Voting• Public (along a left-right continuum) follows a normal bell-shaped curve as many cluster around the middle• Incredible shrinking middle (see figure 9-3) – Prior to 1968 • Ideological distribution of House = strong moderate • Same look 1998 = very few moderates…House polarized along party lines 8
    9. 9. Determinants of Voting - 3• Constituency and Voting• Constituencies control officials choices by 1) Constituencies usually vote for people “like” them (whose views match their own) 2) Officials vote or play the delegate role because they want to be re-elected – Attentive Public – Inattentive Public • “The Oprah Effect: How Soft news helps inattentive citizens vote consistently” Matthew Baum and Angela Jamison 9
    10. 10. Determinants of Voting - 4• Presidents - (Patterns) 1) Modern Pres. See their position prevail in 2/3 or more of congressional votes 1) Routine nature of their initiatives 2) Pres. Does better with their own party • Party ratio is the single most important determinant of success 3) Partisan swings affect Pres. success rates When “divided govt” pres. Success rates 4) Pres. Tend to lose cong. support over time 5) Pres. Take fewer clear-cut stands over time 10
    11. 11. Terms• Logrolling – Bargaining in which the parties trade off support so that each may gain its goal.• Pairing – The voluntary arrangement that allows members to go on record without voting or affecting the final tabulation. When members cannot vote in person, it allows them to still be recorded on an issue.• Poison Pills – “Killer Amendments” intended to make a bill so unpalatable that it will fail.• “Christmas tree" bill – Informal nomenclature for a bill on the Senate floor that attracts many, often unrelated, floor amendments. The amendments which adorn the bill may provide special benefits to various groups or interests.• Amendment in the nature of a substitute – An amendment that would strike out the entire text of a bill or other measure and insert a different full text• session - The period during which Congress assembles and carries on its regular business. Each Congress generally has two regular sessions (a first session and a second session), based on the constitutional mandate that Congress assemble at least once each year. 11
    12. 12. Congress & the President - 10Framers designed a limited presidency exp. compared to todayTraditional Presidency: (1891-1930s)- Exceptions - Washington expanded foreign policy area - Jefferson entered into the LA purchase - Andrew Jackson developed the role of president as the popular leader - Lincoln, most dramatic, expanded several areas…called up state militias, enlarged the army, used tax $ to pay for it, blockaded southern ports…though counter to the constitution, he claimed it was necessary to save the union. - Inherent power: presidential powers implied but not explicitly stated in the Constitution = “take care that the laws be faithfully executed”Modern Presidency ? Let’s look at Formal Powers first. 12
    13. 13. Formal Power• State of the Union Address: – “shall from time to time give to the Congress information of the state of the union, and recommend to their consideration such measures as he shall judge necessary and expedient” – May convene Congress and when there is a dispute about when to disband, to adjourn it as well – Now speech given annually to a joint session and the nation announcing the president’s agenda 13
    14. 14. Executive Order as Administrative Power• Governing by Decree: – Executive orders have a long history and have been the vehicles for a number of important policies • Louisiana Purchase • Annexation of Texas • Emancipation of Slaves • Japanese Internment • Desegregation of the military • Initiation of affirmative action • Creation of EPA, FDA and Peace Corps 14
    15. 15. The Administrative Power• Contemporary presidents have increased the administrative capabilities of their office in three ways: – they enhanced the reach and power of the EOP; – they increased White House control and regulatory review over the federal bureaucracy; – they expanded the role of executive orders and other instruments of direct unilateral presidential governance. 15
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    17. 17. The Administrative Power• Executive orders, in principle, must be pursuant to the powers granted by the Constitution or delegated to her by Congress trough a statute.• Generally, E.O.s state the constitutional or statutory basis for their actions. – Executive Order # 11246 stated that the order was designed to implement the 1964 Civil Rights Act, which prohibited employment discrimination. 17
    18. 18. Modern Presidency to Imperial Presidency?United States v. Curtiss-Wright Corporation (1936): – The president has more inherent power in the realm of foreign affairs than in domestic politicsYoungstown Sheet & Tube v. Sawyer (1952) – Ruled steel mills seizure unconstitutional • By Executive OrderPower to persuade: president’s ability to convince Congress, other political actors, and the public to cooperate with the administrations’ agenda 18
    19. 19. Modern Presidency• Started with Teddy and FDR carried it out – Bully Pulpit – The use of the media as a mans of “going public” • A president’s strategy of appealing to the public on an issue expecting that public pressure will be brought to bear on other political actors• Cycle – The predictable rise and fall of a president’s popularity at different stages of a term in office • Honeymoon period: generally the time following an election when Pres popularity is high & congressional relations are likely to be productive 19
    20. 20. Going Public• In this case, presidents use popular appeals to create a mass base of support that will allow them to subordinate their political foes.• Every president since FDR has sought to craft a public relations strategy emphasizing the incumbent’s strengths and maximizing his popular appeal. 20
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    22. 22. Limits of Going Public• Some presidents used popular appeals to overcome congressional opposition.• However, popular support is not a firm presidential power foundation, because popular support can be fickle.• Presidents generate popular support with program and policy promises for the well- being of Americans. 22
    23. 23. Limits of Going Public - 2• Almost inevitably, presidential performance falls short of promises and expectations, leading to a sharp decline in public support and ensuring that presidential influence collapses.• This explains the decrease in the use of “going public,” specifically in the frequency of prime- time television presidential appearances, using institutionalized public and media relations instead. 23
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    25. 25. Congress & the President• Veto Power – W. Wilson…veto is a 3rd branch of congress – When Pres receives bill from Congress (he has 10 days excluding Sundays to: 1) Sign the bill. Most are signed and sometimes Pres. Issue signing statements that express their interpretation of a new law’s provisions 2) Return the bill with her veto message to the origination house of Congress 3) Next slide 25
    26. 26. Veto Power - 23) She can take no action, and the bill willbecome law without her signature. Thisoption, seldom employed, is reserved for billsthe pres. Dislikes but not enough to veto (seebox 1-10)4) She can pocket veto the bill. Under theConstitution, if a congressional adjournmentprevents the return of a bill, the bill cannotbecome law without the pres. signature 26
    27. 27. Veto Power - 3• Article 1, Section 7 – “If any Bill shall not be returned by the President within ten Days (Sundays excepted) after it shall have been presented to him, the Same shall be a Law, in like manner as if he had signed it, unless Congress by the Adjournment prevents its Return, in which case it shall not be a Law.”• At issue is when a congressional adjournment prevents the return of the president’s veto. 27
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    29. 29. Pocket Veto explained• Kennedy v. Sampson (1974) – Established the principle that pocket vetoes are not to be used during a congressional session but only after Congress’ final adjournment at the end of its second session – Ford & Carter followed the courts interpretation – Reagan twice used intersession (between the first and second sessions) – Clinton used intrasession (in the middle of a session) • Clinton returned the pocket vetoes to Congress, which tried unsuccessfully to override them. • Thus it appears that neither an intra- nor an inter-session pocket veto prevents its return to Congress. Until the Supreme Court makes definitive ruling involving the use of the pocket veto both and between legislative sessions, it is likely that legislative-executive conflicts over the pocket veto will occur periodically. ….scope of this veto has been left to political understandings developed by the branches 29
    30. 30. Veto Overriden• Most vetoes – FDR – 635 total 9 overridden 97.6% success rate – Truman 250 12 93.3% – Ike 181 2 97.3% – JFK 21 0 100% – LBJ 30 0 100% – Nix 43 7 73.1% – Ford 66 12 75.0% – Carter 31 2 84.6% – Rea 78 9 76.9% – Bush 46 1 96.6% – Clin 36 2 94.4% – WB 10 3 70.0% 30
    31. 31. Terms• Pocket veto – The Constitution grants the President 10 days to review a measure passed by the Congress. If the President has not signed the bill after 10 days, it becomes law without his signature. However, if Congress adjourns during the 10-day period, the bill does not become law.• Rescission – The cancellation of budget authority previously provided by Congress. The Impoundment Control Act of 1974 specifies that the President may propose to Congress that funds be rescinded. If both Houses have not approved a rescission proposal (by passing legislation) within 45 days of continuous session, any funds being withheld must be made available for obligation. – .• Executive Calendar – A list of executive business (i.e., treaties and nominations) available for Senate floor consideration.• Session – The period during which Congress assembles and carries on its regular business. Each Congress generally has two regular sessions (a first session and a second session), based on the constitutional mandate that Congress assemble at least once each year. 31
    32. 32. Terms• Proxy voting - – The practice of allowing a Senator to cast a vote in committee for an absent Senator. Senate Rule XXVI provides that proxies may not be voted when the absent Senator has not been informed of the matter on which he is being recorded and has not requested that he be so recorded.• Recess – A temporary interruption of the Senates (or a committees) business. Generally, the Senate recesses (rather than adjourns) at the end of each calendar day.• Executive communication – A message sent to the Senate by the President or other executive branch official. Presidential veto messages are an example of an "executive communication."• Calendar of Business – A Senate publication sent to each lawmakers office (and other offices) every day the Senate is in session. It contains information on, for instance, measures reported from the various standing committees, bills in conference, and the status of appropriation bills. 32
    33. 33. Congress & Bureaucracy - 11• Bureaucrat – “Look Ma, I’m a bureaucrat.” • Bureaucrats come in many ages, size, and backgrounds. • They perform some of the most important jobs in society – NASA scientist, accountant, ferry captain, draw-bridge captain, Air traffic controller, police officer, etc. – Bureaucrats may be private or public employees – The term “bureaucrat” is often used in a pejorative sense• Why do we dislike bureaucrats? – Some are familiar with the negative meaning – • Red Tape – Term used for excessive adherence to “Standard Operating Procedures” which may be considered redundant or wasteful » Examples? 33
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    35. 35. Red Tape• Term comes from the ribbon English civil servants once used to tie up and bind legal documents. Today, along with death and taxes, we think of red tape as inevitable. We are annoyed when we have to wait in lines while officials check files or consult with their supervisors. We are furious when officials lose important documents. Red tape often takes the form of an official’s punctilious adherence to rigid procedures. We may view it as a hopeless tangle of rules and regulations that keep public servants from doing anything but stamping and shuffling papers.• But these same rules and regulations help ensure that public servants act impartially. In other words, red tape stems from our desire not to give public servants too much discretion and to hold them accountable. After all, they are spending our money. Remember, too, that one person’s red tape is another person’s prudent system or proper cautiousness. 35
    36. 36. Phillip K. Howard. The Death of Common Sense• Al Gore, Common Sense Government – The Defense Department spent more on procedures for travel reimbursement ($2.2 billion) than on travel ($2.0 billion). 36
    37. 37. Bureaucracy Defined• Large Organization – “Bureau” generally was a desk used by staff in a large organization• Structured Hierarchically to carry out specific functions: – Rational organizations; Hierarchical authority; job specialization; formalized rules (SOPs)• Both Public & Private sectors 37
    38. 38. Bureaucracy Virtues• Despite complaints they are:1. Fairness & impartiality of service delivery2. Large reservoir of expertise3. Institutional memory 38
    39. 39. Bureaucracy Size• National bureaucracy began with THREE departments: State, War, and Treasury – Office of Attorney General added in 1789 – Present day bureaucracy started in 1789• Today there are FIFTEEN departments• Employ approximately 3 million employees 39
    40. 40. Government Size• Size of Government – “The era of big government is over.” • “Everybody wants the federal government to look smaller than it really is.” Paul C. Light• How do we measure Government Size (Does Size Matter?) 1) Total Employee # 1) 3 million 2) “true size” = 17 million (4.1 million civilian, military, postal workers & 12.7 million “shadow” workers) 2) Total budget - over 3 trillion or maybe on % of debt? 3) Total expenditures as a percent of GDP - 21.8% of GDP 1990; 18.4% 2000; 19.8% 2004 See Chart 40
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    43. 43. Bureaucracy Staffing• At-Will employees: political appointees and may be fired “at-will” of their supervisor. – Length of service =• Merit employees: “civil-service” employees and are hired based on their merit: – Experience, education, ability to accomplish tasks – These employees make up the bulk of the bureaucracy. – Vast majority are trained specialist (1/6 = clerks) 43
    44. 44. Compensation notes• Revolving door – Officials & staffers who “pass through the revolving door” to jobs with private firms that deal with the government – Now “High” govt. officials must go through “cooling off” period of two years• 27th Amendment – “No law varying the compensation for the services of the Senators and Representatives shall take effect, until and election of Representatives shall have intervened.• (NOTE)State: – Probably the most powerful tool a Governor/executive has over the bureaucracy is the power of the budget! 44
    45. 45. Important Legislation• Spoils System: (Jackson Democrats) and the idea of patronage – Cronies in office?• Pendleton Act (Civil Service Reform Act) of 1883: replaced the Spoils system with a merit system and created Civil Service Commission to administer the personnel service. 45
    46. 46. Important Legislation• Hatch Act of 1939: created to protect government workers from political manipulation• Civil Service Reform Act of 1978: created additional employee safeguards – Office of Personnel management (OPM) – Merit Systems Protection Board (MSPB) – Whistle-blower protections – Additional protections with 1989 :Whistle-Blower Protection Act (Search Frederic Whitehurst) 46
    47. 47. Four Organizational Structures1. Cabinet Depts. The 15 cabinet depts created between 1789 and 2003. Line organizations form major part of national bureaucracy: • Appointees (Secretaries) must contend with senior civil servants established “power” • Appointees often chosen for political purpose & President may make more use of kitchen cabinet for policy decisions 47
    48. 48. Four Organizational Structures2. Independent Agencies: are not part of the executive dept but the “Directors” are appointed by and report to the President • Are smaller and have more focused missions than cabinet department • “Independent” in that they often perceived (Symbolically) as somewhat insulated from partisan and interest group pressure • Agency heads serve at the pleasure of the President • Important Agencies: NASA, EPA, CIA 48
    49. 49. Four Organizational Structures3. Regulatory Agencies: responsible for supervising a particular economic sector • Presidential appointees (Commissioners) serve relatively long terms, but subject to Senate approval & may not be removed by President • More Independent than Independent Agencies • Appointees often chosen for political purpose & President may • Quasi-judicial: can bring charges, hold hearings & impose penalties (FCC and Howard Stern) • Quasi-legislative: they make and interpret rules (FTC) • They still become immersed in politics. Some are “captured” (1974 Nuclear Regulatory Commission) • First agency: Interstate Commerce Commission (ICC) in 1887 49
    50. 50. Four Organizational Structures4. Government Corporations: Quasi-business enterprise. • President appoints & Senate Approves • More Flexible • More leeway from O.M.B. • Good Examples: US Postal Service & Federal Deposit Insurance Corporation (FDIC) 50
    51. 51. Reinventing Government• 1976 Government In the Sunshine Act: required most agencies to conduct their business in public “open” sessions• 1997 Government Performance and Results Act (NPR): designed to improve efficiency in the national work force and require agencies to set goals and establish a means of measuring if the goals were reached: “Big government is over” … reduced bureaucracy 51
    52. 52. REGO• Privatization: Contracting out govt services.• Use private firms for detention centers, airport control towers, credit screening and placed Contrail on market…most successful @ local level• Criticisms: - (sometimes impractical) – Suspect motives: desire to reduce govt or provide pork? – Deprivation of effective control mechanisms – Decline of quality & fairness of service delivery 52
    53. 53. Do Bureaucrats Make Policy?• Enabling Legislation: Congress is unable to oversee the daily operations of program administration. They delegate the authority to “administrative agencies” to carry out the day-to-day programs.• Bureaucracy performs “Rulemaking”• Negotiated Rule-making: when individuals engage in “negotiations” with the agency about the final rules… regulations – All regulations must first be published in the Federal Register. Generally, time period for comments (60 days) 53
    54. 54. Do Bureaucrats Make Policy?• Once assumed that bureaucrats do not make policy decisions, but merely enforce these decisions. The concepts of “Iron Triangle” and “Issue Networks” hold that bureaucrats do play a major role in policy decisions. (Clientele Groups)• Iron Triangle: 3-way alliance among legislators (staff), bureaucrats (agency) and interest group• Issue Networks: various groups form an alliance over a particular issue and but may not generally agree on other issues. The issue network contains a more fluid alliance than the iron triangle. 54
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    56. 56. More Control = Congressional Vetoes• Legislative Veto: – Statutory enactment that permits presidents or bureaucracy “to act” subject to later approval or disapproval by one/both houses of Congress (or to some cases by committees of one/both houses) – Immigration and Naturalization Service v. Chadha (1983) • Supreme Court – veto is unconstitutional = violated the separation of powers, the principle of bicameralism, and the Presentation Clause of the Constitution – “legislation passed by both chambers must be presented to the president for his signature or veto” • Leg. Vetoes continue – discuss intent • Self-interest = they watch, pay attention to committees (iron triangle)? 56
    57. 57. Inspectors General• IGs – offer independent analysis to Congress and the public on how agencies, agency heads are performing• Created for most agencies in 1978 – Added to Justice , FBI, etc. in 2004 – Employ about 11,500 auditors, investigators, inspectors • One of the areas for new MPAs 57
    58. 58. Conclusions• Bureaucracies are inevitable in complex, modern society. They spring from public needs, and are not foisted on public.• Bureaucracies and democratic theory: – They should be highly responsive, sensitive to human needs and respectful of citizens – The Balance Sheet is unclear: – (next page) 58
    59. 59. Conclusions, cont.• The Balance Sheet is unclear: – Some act autocratically; diminish rather than defend freedom; harass citizens and ignore basic rights – Some protect and educate citizens while defending rights, equality and liberty• Bureaucracies can still be controlled by: – Authorization and appropriation of funds ($$$) – Investigation and oversight hearings – GAO & Inspector Generals 59
    60. 60. Terms• Bureaucracy – The complex structure of offices, tasks, rules, and principles of organization that are employed by all large scale institutions to coordinate the work of their personnel.• Implementation – The efforts of departments and agencies to translate laws into specific bureaucratic routines.• Rule Making – A quasi-legislative administrative process by which government agencies produce regulations.• Administrative adjudication – Applying rules and precedents to specific cases to settle disputes between regulated parties.• Merit System – A product of civil service reform, in which appointees to positions in public bureaucracies must objectively be deemed qualified for those positions. 60
    61. 61. Terms• Spoils System – Some consider it the Jacksonian spoils system where elected officials are allowed to hire/fire employees “At Will” and without due process guarantees.• Departments – The largest subunit of the executive branch. The secretaries of the fifteen departments form the Cabinet• Kitchen Cabinet – A small group of informal advisors to the President who, in their particular area of expertise, may become more influential than Cabinet members.• Independent agency – An agency that is not part of a Cabinet department and is considered sheltered from partisan politics. NASA is an example.• Government Corporation – A government agency that performs a service normally provided by the private sector. The Government Corporation is more independent than the Independent Agency and is more sheltered from partisan politics. US Postal Service is an example. 61
    62. 62. Terms• Oversight – The effort by Congress, through hearings, investigations, and other techniques, to exercise control over the activities of executive agencies.• Ombudsperson – A specific type of oversight more individual where a public official acts as an impartial intermediary between the public and bureaucracy.• Privatization – Removing all or part of a program from the public sector to the private sector.• Devolution – A policy to remove a program from the national government to state or local government by delegation or by mandate.• Deregulation – Policy of reducing regulations allowing state’s to exercise regulatory power. 62