Lecture 5: The President and the Executive Branch

1. Lecture 5:The President and the Executive Branch POLI 10: Introduction to American Politics Summer Session I 15 July 2013 Prof. Justin Levitt

2. Next time • Don’t forget about the Midterm! • Bring a bluebook and pen or pencil (available at the bookstore) • I’ll distribute the final prompt and reading for Monday, July 22 at the Midterm • Questions?

3. Today’s myth: The President has the power to make law—if he (or she) wants something done, it gets done. http://www.youtube.com/watch?v=6ti2S7Py25w

4. Lecture Overview • Executive Authority • The Development of the Executive Branch • The President’s Men: The Cabinet and Executive Office • The Civil Service • Inter-branch Relations

5. Part I: Executive Authority

6. The Unitary Executive • The Articles of Confederation failed because there was not a strong leader; Anti-Federalists wanted a Council, not a single person • Article II creates the unitary executive, an executive branch organized in a hierarchy under the President • From Federalist 70: • A feeble Executive implies a feeble execution of the government. A feeble execution is but another phrase for a bad execution; and a government ill executed, whatever it may be in theory, must be, in practice, a bad government.

7. A powerful President… • Formal Powers: • Veto bills • Commander-in-Chief • Negotiate treaties • Make appointments • Issue pardons • Deliver the State of the Union address • Oversee the day-to-day operations of government • Informal Powers: • Influence political debate: • Executive Office • Cabinet • “Going Public” • Interpret law through: • Regulation • Executive Orders • Signing statements

8. …Yet not a Tyrant (Federalist 69) • Elected, not appointed • Subject to a term of office, not for life and no inheritance (but see Adams, John Quincy and Bush, George W.) • Can engage in war, but cannot initiate it • Negotiates treaties, but Senate must sign on • Vetoes laws, but Congress can override • Makes appointments, but subject to Senate confirmation • Issues orders and regulations, but Congress can make new law

9. The Power of the Purse: President and Congress Compared • The President: • Appoints a Secretary of the Treasury • Suggests a Budget to Congress • Hires, promotes, and fires tax collectors and administrators • Signs pay checks and receives reports from agencies • Writes regulation concerning the disbursement of funds • Congress • Allocates money to various programs through a Budget • Oversees how the President administers the bureaucracy

10. What’s a President to do? • What we demand of the President doesn’t match what they are authorized to do • This is the paradox of the Presidency—Congress is designed to be a stronger branch, but the President is the only person with a national constituency, which means they serve as the face of government—even when they have no control! • Scott James looks at how Presidents have faced this dilemma. • How does this affect how we evaluate administrations?

11. Evaluating the President • http://en.wikipedia.org/wiki/Historical_rankings_of_Presidents_of_the_United_States • If you are (a) a wartime president who (b) wins and makes peace and (c) gains some advantage internationally for the US, or simply (d) well known because you lived in the last quarter of the 18th century, you’re probably a “good” president. • On the other hand, if you (a) appointed cronies to positions of power, (b) did not address slavery, (c) took a laissez-faire attitude to the role of government, or simply (d) are a controversial recent figure, you’re probably a “bad” president.

12. Part II: The Development of the Executive Branch

13. Eras of Executive/Management Style • 1789-1829 (Washington-Quincy Adams) • 1829-1883 (Jackson-Garfield) • 1883-1933 (Arthur-Hoover) • 1933-1981 (FDR-Carter) • 1981-Present (Reagan-Obama)

14. How do we define these eras? • Changes in balance of power between Congress and the President • Changes in the likelihood of divided government • Changes in administration, philosophy, and attitude toward the bureaucracy

15. The Federalist Executive (1789-1829) • The Federal Government was initially very small • Congress didn’t meet very often (in session less than 40% of the year), so the President was the only full-time elected official around • The scale of government was also small: a few full-time military officials, customs agents, land-grant offices, and postal employees • Limited franchise meant mostly voters were wealthy and educated • George Washington established precedent of honest, effective civil service

16. The Patronage Executive (1829-1883) • As the nation grew, so did the scale of certain departments (land-grants, post office, later agriculture and labor) • Expanded franchise meant people not as wealth could vote, demand benefits for voting • Andrew Jackson realized that he could pay people through hiring them using government resources—the patronage, or spoils system was born • Federal patronage reaches peak after the Civil War

17. Public Administration (1883-1933) • After the assassination of Garfield in 1881, Congress passed the Pendleton Civil Service Reform Act • Established permanent, merit-based civil service with protections against party reprisals • Initially covered 10% of jobs, extended upward to 80% by 1933 • Progressives believed in the Public Administration model of civil service, which emphasized “progress” and the “public interest” over individual and group claims • What does this mean for the President as a politician?

18. The Imperial Presidency (1933-1981) • Because agencies are more independent, President relies more heavily on his personal advisors • Roosevelt had a “Kitchen Cabinet” which morphed into the Executive Office of the President in 1939 • These officials advise the President on partisan matters like vetoes and policy decisions, leaving the bureaucrats to avoid party politics • Size of the White House staff peaked under Nixon in the early 1970s

19. The Ideological Presidency (1981-Present) • Since Reagan, the Presidency has been increasingly political • Reagan and his successors used appointments to influence bureaucratic style and politicize the administration • After the decline of the Public Administration school, divide between Neoliberal and Management schools • Neoliberal model emphasizes decentralization, deregulation, and measurement of outcomes • Management school emphasizes top-down, theory-based approaches to manage costs

20. Total Federal Outlays, 1790-1990

21. Growth of the Bureaucracy

22. Part III: The Modern Presidency

23. Electing the President • Term: 4 years • Elected via the Electoral College • Since 1804, elected on a ticket with the Vice-President • Since 1951, subject to term limits of two terms • Has a national constituency • President is also generally agenda setter for their party while in office

24. Exerting Influence: Formal Authority • Veto threat (see figure at right and next) • If the President can credibly commit to vetoing a bill, they can extract concessions from Congress • The development of the Institutional Presidency has helped • Influence over the Bureaucracy

25. Exerting Influence: Senate Victories

26. Exerting Influence: Executive Orders • An Executive Order is a formal instruction from the President to the bureaucracy that has the force of law until Congress overturns it or another President signs another Order. • Often used as symbolic tools (Planned Parenthood funding), or in times of emergency (creation of DHS)

27. Executive Orders by Administration

28. Exerting Influence: Signing Statements • Signing Statements are messages attached to a piece of legislation detailing how the President intends to interpret and carry out that law • Can be used to increase Presidential authority to interpret law • George W. Bush used them frequently

29. Exerting Influence: Going Public • Going public refers to the President’s ability to influence policy through appealing to their national constituency • While Presidents have always gone public, whether through pamphlets, whistle-stop campaigns, radio, or viral video, the advent of television allowed Presidents to reach an audience most Congressmembers could not • The mandatory State of the Union address allows the President to state his goals directly to the people • Can “going public” backfire? How often is too often? • http://www.youtube.com/watch?v=MQGoyQ-TXwo

32. Presidential Institutions • How does the President manage all that? • Cabinet • Comprised of the chiefs of each Federal bureau plus certain other advisors • Appointed by the President, subject to confirmation by the Senate • Executive Office of the President • Comprised of the White House Office as well as certain other advisors (the Vice-President, Council of Economic Advisers) • Most are not subject to confirmation

33. The Executive Office • Provide advice directly to the President on issues and bills • Do not have sub-agencies like the bureaus overseen by the Cabinet • The White House Office is not subject to confirmation from the Senate, and so provides support for the President

35. The Vice President • Limited formal authority • Break a tie in the Senate • Take the place of the President • Often take on a specific project or cause • Historically, nominated to balance the ticket geographically • In modern times, serves to correct a perception • Sarah Palin, because John McCain was perceived as old

36. From their own mouths… • “The Vice Presidency is the most insignificant office that ever the invention of man contrived or his imagination conceived“ • John Adams • "I do not propose to be buried until I am really dead." • Daniel Webster, on not accepting the Vice Presidency • Why did Calvin Coolidge say he enjoyed his time as vice president? • Coolidge claimed that the job never interfered with his mandatory eleven hours of sleep a day.

37. The President and the Agencies • The President technically controls the day-to-day operations of the bureaucracy, particularly under the “take care” clause of the Constitution • However, the President delegates these tasks to his appointments, such as the Secretary for Defense or Chair of the Federal Reserve • He meets with them regularly through an organization known as the Cabinet, and they can succeed him as President, so it is important to get his people in charge

38. Part IV: Rules, Norms, and Procedures: The Federal Bureaucracy Today

39. The Cabinet • The Cabinet is an informal organization of the Executive Branch headed by the President and consisting of the heads of each department and certain additional agencies • While most Executive Branch institutions date to the mid-20th century, the Cabinet has existed since 1790

40. The General Structure of a Bureaucracy

41. What Agencies Do • Bureaucrats are those people who receive pay and benefits from the government (I’m a bureaucrat!) • An agency is a particular chain of command in a bureaucracy with a common mission/function and single leader • Agencies specialize, and so tend to focus on developing very particularized skills and knowledge • Agencies tend to be primarily either: • Regulatory (FDA, OSHA) • Service Provision (Army, Post Office)

42. How Agencies Do It • Each agency has its own culture, that is to say, its own process and way of doing things that is resistant to change. • Bureaucrats tend to have a strong sense of professionalism and resentment of interference by politicians • This can lead to problems if agencies have to work together • Or if agencies are too narrowly focused on a particular goal, like FEMA after September 11th • Politically savvy bureaucrats may help secure funding, but may be the target of internal opposition

43. Where the Money Goes • Federal employee salaries and benefits only make up a small portion of most department outlays (excluding Defense) • Most funding goes directly to states, local governments, individuals, or contractors

44. Budget by Level of Government

45. Reorganizing the Bureaucracy • Sometimes new agencies are created or moved between bureaus • Three principal reasons: • Increase oversight • Reflect changing missions/needs • Symbolism • Bureaucrats generally hate this because each department has its own norms

46. Reorganizing the Bureaucracy

47. Accountability • What keeps bureaucrats in line? • Congressional Control: • Legislation • Hearings/investigations • Reports • Independent auditors • Earmarking/Riders • Presidential Control: • Executive Order • Appointment • Self-Control: • Regulations and norms • Supervision • Internal audits and evaluations

48. Bureaucratic Capture • Savvy bureaucrats and interest groups use deference, committees, and the seniority system to their advantage • Junior lawmakers appointed to key committees are positioned to take over in the future, so you get in good with them now. • When they become higher ranking, they are in your pocket! • These iron triangles, close relations between interest groups, agencies, and committee members, lead to closed relationships where it is difficult for an outsider to influence policy

49. Iron Triangle Illustrated

50. The Bureaucracy in context • The Executive Branch is by far the largest branch and the most difficult to control • A strong President can leave his mark simply by providing clear direction and persuading others to follow him • Yet in more recent times, the President has become progressively more detached from the bureaucracy as it has grown • This means that bureaucrats are increasingly independent, which exacerbates iron triangles and resistance to change • Congress has limited powers to intervene, but strong ones