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THE EXECUTIVE BRANCH Views about executives during the colonial era and by the Constitutional Founders. Changes in the presidency across time, Stewardship theory and who enunciated it The Cabinet, cabinet departments, cabinet leaders, and US cabinet versus multi-party cabinets Federal Regions, Field offices, how common are fields offices, where are most federal employees located? Inner versus outer cabinet and what distinguishes them Independent Agencies, boards, commission, government corporations Why and how are they independent? What is the common leadership structure of an independent regulatory agency? Progressive era / movement: goals and organizational impacts Agency capture, what is it and why? Political Appointees, what are they, what do they do, where do they come from, how long do they stay? Brownlow Commission: when was it and what did it do? Executive office of the President and such key units as the NSC, CEA, OMB Line versus staff, and how it applies to cabinet agencies and the EOP The White House office and key presidential aides (titles, not necessarily names) Role differences between cabinet secretaries and presidential staff The Presidential Complex: Residence, West Wing, Old EOB, East Wing, Blair House, Oval Office, Rose Garden Abbreviations EOP, EOB, WHO, NSC Proximity as a source of power: Presidential Staff versus Cabinet Secretaries Chief of State vs. Chief of Govt Executive privilege, Executive Order, Signing Statement Coordination The “philosopher’s stone” of public administration Harold Seidman Coordination necessary for both efficiency and effectiveness Coordination is the Executive Legislative Branch Makes policies Monitors execution for needed corrections BUT does not Implement policy Judicial Branch Usually does not set general policy Not rules applying to broad categories of people Rather decides specific cases Origins of the Presidency Founders distrusted executives Much more faith in legislatures Royal governors, the experience of the colonies with executive power Appointees of the King Powers of appointment, military command, expenditure, and pardon as well as with large powers in connection with the powers of lawmaking” Disdained and distrusted by colonists After the American Revolution, state constitutions limited the powers of governors. Declaration of Independence: Wrongs of Britain, King, and Royal Governors protected British soldiers “by a mock Trial, from Punishment for any Murders which they should commit on the Inhabitants of these States Suspended our own Legislatures, and declaring themselves (governors) invested with Power to legislate for us in all cases whatsoever. taken away our Charters, abolishing our most valuable Laws, and altering fundamentally the Forms of our Governments erected a multitude of New Offices, and sent hither swarms of Officers to harass our People, and eat out their substance. So, after independence: Articles of Confederation had no chief executive The constitutions of most states created very weak governorships BUT Problems with the Articles showed the need for a stronger national government, including an executive George Washington and the American Presidency Washington made the Presidency possible Established many current practices Insisted on being addressed as “Mr. President” Voluntarily left office after two terms Claimed executive had “inherent powers” to conduct foreign affairs Growth Beyond Formal (Constitutional) Powers Presidential power grows due to: National and international crises The Congress is a slow and deliberative body The Executive can act quickly America’s rise to a global power The increased size of the federal government The growing speed of transportation and communication Establishing the President’s Authority: The First Presidents President Washington’s precedents Established the primacy of the national government Held regular meetings with his advisers (establishing the Cabinet system) Asserted the prominence of the chief executive’s role in foreign affairs Claimed inherent power of the presidency Powers that can be derived or inferred from what is formally described in the Constitution Incremental Expansion of Presidential Powers: 1809-1933 Most presidents from Madison to Hoover failed to exercise the powers of the presidency in any significant manner Andrew Jackson was the first president to act as strong national leader. Made extensive use of veto power Reasserted the supremacy of the national government (and the presidency) by facing down South Carolina’s nullification of a federal tariff law Expansion of Presidential Powers: Abraham Lincoln Lincoln argued that the inherent powers of his office allowed him to circumvent the constitution in a time of war or national crisis in order to make sure the laws of the U.S. were faithfully executed Suspended the write of habeas corpus Expanded the size of U.S. army above Congress’s mandates Ordered a blockade of southern ports (initiating war without congressional approval) Closed the U.S. mails to treasonable mailings The Period of Weak Presidents (Exceptions in Bold) James Polk Zachary Taylor Millard Fillmore Franklin Pierce James Buchanan Abraham Lincoln Andrew Johnson Ulysses Grant Rutherford Hayes William McKinley Theodore Roosevelt William Taft Woodrow Wilson Warren Harding Calvin Coolidge Herbert Hoover The Narrow View of Presidential Power William Howard Taft: “The president can exercise no power which cannot be . . . traced to some specific grant of power . . . in the constitution.” Teddy’s Roosevelt’s Stewardship Theory “I decline to adopt the view that what was imperatively necessary for the nation could not be done by the president unless he could find some specific authorization to do it. My belief was that it was not only his right but his duty to do anything that the needs of the nation demanded, unless such action was forbidden by the Constitution.” The Growth of the Modern Presidency The Great Depression The rise of mass communication (radio) World War II and America becoming a World Leader The Modern Presidency Public Expectations / Presidential Roles Symbolic Presidency Head of State AND Head of Government Manager of Crises Policy Leadership Manager of the Economy Leader of the Free World And also Party leader Manager of the federal bureaucracy THE EXECUTIVE BRANCH Implements and Manages Policy Engages in Gulick’s PODSCORB Planning Organizing Directing Staffing Coordinating Reporting Budgeting OUR FOCUS WILL BE ON THESE MANAGEMENT ELEMENTS Executive Branch organization differs From national to state to local From state to state From nation to nation Presidential Appointment Authority and Senate Advise and Consent Line versus staff Field Offices Non-Departments Government Corporations, Independent regulatory Commissions What is meant by independence and why created to be independent Stages of Administrative Development Most nations passed through four stages of administrative development: 1st stage: revenue collection, expenditures, debt management, maintenance of internal law and order, defense, foreign affairs 2nd stage: agriculture and trade, created catchall departments Stages of Administrative Development (continued) 3rd stage: old functions received new departments, human welfare 4th stage: science and technology, energy, the environment, economic planning Cabinet Departments State (1789) Treasury (1789) Defense (1947; formerly the War Department, created in 1789, and the Navy Department, created in 1798) Justice (1789) Interior (1849) Agriculture (1889) Commerce (1913) Labor (1913) Similar at State Level Basic State Agencies Attorney General Treasurer State (official Records) Later Agencies Agriculture, transportation, health, environment Coordination is a matter of Organizational elements How many, how structure Executive Power / Authority The ability to enforce coordination Centrifugal and centripetal elements National Executive Branch Components (Similar at state and sometimes local levels) Cabinet departments Independent agencies Bureaus Field offices Executive Office and White House Office Cabinet Department Cabinet: from 16th century, when English king began meeting with closest advisers in a cabinet, or small room. British tradition (also called the Westminster System) the cabinet meets regularly is collectively responsible for government policy The prime minister and all cabinet members are also members of parliament Role of the cabinet in multi-party systems Current Israeli Cabinet Governing Coalition after 2009 Knesset election includes the following parties: Likud, Yisrael Beiteinu, Shas, Labor Party, The Jewish Home, and United Torah Judaism. The US Cabinet US cabinet members owe their jobs solely to the president. Manage major government functional areas (collections of programs) work with the president one or one or in small groups, but NOT a collective decision making body Cabinet Departments 15 Cabinet Departments Each headed by a Secretary E.g., Secretary of Defense Except for Justice headed by the Attorney General Contain 90 percent of executive branch’s civilian employees and 80 percent of all spending Defense has largest number of employees Health and Human Services (HHS) spends the most money Cabinet departments cover functional areas Most contain multiple, often loosely related programs. Contain bureaus, offices, division, agencies, services, institutes, and similar smaller organizations New programs are usually added to an existing department or agency Inner and Outer Cabinets Inner cabinet: comprising heads of State, Defense, Treasury, and Justice Often most trusted advisers to president Outer cabinet: includes all remaining departments Oldest outer cabinet: Interior and Agriculture Post-1950: HHS, Housing and Urban development (HUD), and Education INDEPENDENT AGENCIES, COMMISSIONS, AND GOVERNMENT CORPORATIONS Why “Independent”? By definition: Not part of, and governed by, a large department. Why: Government Corporations Minor and primarily symbolic Some insulation from partisan politics Politically Sensitive Quasi-Judicial Many Stem From Progressive Era 1880s to 1920s Response to changing economic and social conditions as well as corruption and political machines. Consistent with Woodrow Wilson to remove politics from government. Goal was good government -- as defined by white middle class Progressive Movement Break the control of political machines Remove partisanship from government Take decisions away from general government (state legislature, city councils) And give to appointed boards School board, library board, utility board, Federal Reserve Board, etc. Successful at national, state, and local levels So, progressive era contributed a lot of independent boards and commissions Many are still present due to tradition Others because semi-independence is politically or organizationally useful Government Corporations Usually engaged in lending, insurance, or similar “business type” activities FDIC – insurance, nearly wholly funded by member bank fees Post Office, part fees, part government subsidies Corporation for Public Broadcasting – mostly federal funds to subsidize public radio and TV Some are minor and largely symbolic: Japan-US Friendship Commission American Battle Monuments Commission Politically Sensitive Too tempting to be under the control of a single political group Federal Reserve Social Security Administration National Science Foundation Harry Truman Scholarship Foundation (But the groups still try) Politically Sensitive AND Regulatory / Quasi-Judicial Consumer Products Safety Commission Environmental Protection Agency National Transportation Safety Board Securities and Exchange Commission Independent Regulatory Agencies Independent regulatory agencies are those that have quasi-judicial regulatory responsibilities. They are generally headed by a several-member board or commission appointed by the president and confirmed by the Senate. Most independent regulatory agencies were established by Congress in response to public pressure to protect workers and consumers from negligent or abusive business practices. Securities and Exchange commission Federal Reserve Board Regulation, Political Power, and Agency Capture ALL GOVERNMENT AGENCIES NEED POLITICAL POWER To accomplish their mission, any organization needs resources Budget, personnel, authority, etc. Elected officials grant resources Agency Capture Newly created agencies aggressively pursue mission (e.g., EPA) When public’s demand for mission fades, who is left? Interest groups. Many agencies find their most interested constituents to be members of the very community they are expected to regulate. ORGANIZATIONAL STRUCTURE The Bureau The principal operating organization – The building block of larger structures Not all use the name – may be called an office, agency, or something else Has a relatively focused task usually has an identifiable budget, unified personnel system, etc. Department of State: Bureau Examples Department of Justice: Bureau Examples Field Offices Only 12% of federal civilian employees work in Washington D.C. Most cities of 50K plus have some federal offices. Lubbock Federal building houses: Federal District Court IRS Housing and Urban Development Border Patrol General Services Administration Federal Agency Regions PRESIDENCY: Responsible for: Management of the executive branch Article II, Section 3: he shall take Care that the Laws be faithfully executed Efficiency, effectiveness, smooth operation Leadership – setting a policy agenda Article II, Section 3. He 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 (source of the state of the union address) And more Federal Executive Leadership The Presidential Institution The President Presidential Appointees Presidential Staff Appointment Article II, Section 2 “he shall nominate, and by and with the Advice and Consent of the Senate, shall appoint Ambassadors, other public Ministers and Consuls, Judges of the supreme Court, and all other Officers of the United States.” Presidents appoint about 3,000 federal officials About 1,000 of those require senate approval Federal agencies divided into political appointees and careerists Political Appointees Estimated number of top-level agency appointees grew from less than 500 in 1960 to nearly 3,400 in the Bush administration No other industrialized democracy gives its leader as much patronage power. Versus Careerists Versus British “Shadow Cabinet” Sources of Presidential Appointees 1. Campaign Aides and long time friends Most campaign aides hope for a job after election 2. Major Supporters from the private sector McCain: Carly Fiorina former HP CEO Reagan and Don Regan from Merrill Lynch 3. Party Base (key party figures) Don Rumsfeld, Hillary Clinton Ins and Outers New president may enlist many new people with innovative ideas appointees may not know their organizations very well Average service length about 2 years May push political agenda at the expense of agency mission or management e.g., environmental issues Presidential Appointees: Centrifugal Forces Appointees shares values with and owe allegiance to appointing president, BUT Presidential service is limited to 2 or 4 years maximum Most leave service after 2-4 years Must serve agency clients despite president A definition of doing a good job Look to job after Washington Presidents must constantly work to accomplish policy, managerial, and coordination goals Even among own appointees And also with thousands of careerists THE WASHINGTON SETTING Maps of Washington and location of Major Units The Washington Setting Most federal employees work outside of Washington DC Even inside Washington, Departments and Agencies are scattered across miles Simple geography can be a barrier to coordination The Presidential Institution Seeks to compensate with centripetal forces The president as a person and the persuasive symbols of the office The presidential staff Presidential Staff Departments are Line Agencies They carry out programs Principal – Agent Problem How do you know the line agencies are doing their jobs well? Too many for president to monitor personally “The President Needs Help.” The Brownlow Commission, 1937 Charged by President Franklin Roosevelt to study the executive branch structure and operations Led to creation of Presidential Staff – The Executive Office of the President The Executive Office of the President (EOP) Contains multiple smaller units Function is to give advice to the President And / or help manage the other agencies of government. Primarily a set of staff rather than line agencies Most important members: National Security Council Council of Economic Advisors Office of Management and Budget Office of the Vice President U.S. Trade Representative The White House Office Presidential Complex: White House, East and West Wings, Executive Office Building. Blair House The Residence (White House) is for Formal Meetings The White House Office Personal assistants to the president, including senior aides, their deputies, assistants with professional duties, and clerical and administrative aides Chief of Staff Size increased over time Current White House has 435 staffers White House Office Growth of White House Office Franklin D. Roosevelt: 47 Harry Truman: 200 Nixon: 555 Ronald Reagan: 600 Currently: around 500 The West Wing Executive Branch Resources, Power, Concerns Chief of State Versus Chief of Government Reorganization Power Executive Privilege Executive Orders Signing Statements Presidential Power and Presidential Staff Chief of State Vs. Chief of Government Chief of State: symbolic head of state Responsible for ceremonial functions Meeting Olympic athletes Giving awards Fourth of July celebrations Greeting foreign dignitaries (State dinners at the White House) Chief of Government Responsible for government operations and policies Some countries separate the roles King / Queen versus prime minister France and Russia Separate presidents and prime ministers US President combines the roles Reorganization Presidents often seek reorganization for greater efficiency, effectiveness, and political control. Congress creates agencies and programs by law Funds and reauthorizes in each budget cycle Congress requires that any restructuring of executive agencies be approved by a joint resolution of both houses. Organization is not just efficiency Organization is the mobilization of bias Creating a system to focus on a need Goal of Food Stamp Program? Feed the Hungry? Eliminate Food Surpluses driving down prices? Miles Law Where you stand depends upon where you sit Rufus Miles Assistant Secretary (Careerist) in Department of HEW (Now HHS) Eisenhower through Johnson Administrations From a director of the Office of Management and Budget (part of the EOP) Department Secretaries are secretaries in charge of spending. Executive Privilege Presidential claim that they need to keep conversations and information confidential in order to get the best advice Not allow close aides (White House Office or EOP) to testify before Congress President Bush is not allowing Carl Rove to testify in front of Congress Earlier denied access to Condoleezza Rice when she served as National Security Adviser Records of meeting of VP Cheney with Energy executives to set energy policy. Has been used to cover up political embarrassments, even crimes During Watergate, Nixon refused to turn over his tapes on the grounds of executive privilege. The Supreme Court has ruled that executive privilege does not extend to any conversations or documents that may contain evidence of a crime. Clinton Impeachment and Executive Privilege Restrictions Judge Starr – Independent Counsel selected by Republican Congress to investigate charges Forced courts to remove executive privilege from While House counsel Secret Service Agents Executive Orders Signed presidential orders directing actions or interpretations of law by federal employees. Have the same legal effect as a Congressional statute and are legally binding on executive branch agencies. Do not require congressional approval but Congress may override or courts may later overturn them. Most Executive Orders focus on details not in the statute Not necessarily controversial Some can have very important policy roles Signing Statement Is a written comment issued by a President at the time of signing legislation Legally identical to an executive order Controversial if president claims right to ignore parts of law being signed Used by many presidents but high controversy under President GW Bush Boston Globe: President Bush has quietly claimed the authority to disobey more than 750 laws enacted since he took office Presidential Power: Has it gone too far? The Expansion of Power Presidents may develop new roles for and expand power of the office. Perspectives on Presidential Power During the 1950’s and 1960’s people favored a powerful president. By the 1970’s, presidential power was checked and distrusted by the public. All presidents get frustrated by the slow action of Congress They want to get things done Every president is tempted to increase the power of the office From time to time, the Congress pushes back War Powers Act Possible reduction in budget for Iraq War Nixon on Presidential Power David Frost: “you’re saying . . . There are certain situations where the president can decide to do something that is illegal?” Richard Nixon: “Well, when the president does it that means it is not illegal.” Cabinet Secretaries vs. Presidential Staff Cabinet Secretaries (and deputy secretaries bureau chiefs, careerists) Often have existing bases of political power May be interested in future office Hillary Clinton Kathleen Sibelius at HHS For future, satisfying party leaders and agency clients is important White House Staff Presidential Staff are loyalists Owe job to president Ron Ziegler, Nixon Press Secretary Staff often willing to do things Political Leaders and Careerists will not Watergate John Dean, white House Counsel H. R. “Bob” Haldeman, Nixon Chief of Staff John Ehrlichman, Assistant to the President for Domestic Affairs Plumbers unit, office in basement of OLD EOB Iran-Contra Reagan Administration Lieutenant Colonel Oliver North of the National Security Council in late 1985 Senior US figures agreed to facilitate the sale of arms to Iran, the subject of an arms embargo, to secure the release of hostages and to fund Nicaraguan rebels known as the Contras. Scooter Libby Chief of Staff to VP Cheney Libby convicted of obstruction of justice and perjury resulting from the grand jury investigation into the leak of Central Intelligence Agency officer Valerie Plame’s name (classified information). Many believe Libby fell on his sword to protect VP Cheney. Growth of White House Staff is a Double-edged sword Aids the president in coordination of the vast executive branch Provides people whose loyalties are to the president only, and less constrained by politics, experience, or law.
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