Congressional Control of the BureaucracyBureaucratic Politics

Introduction

• Third principal: Congress• Our total focus is on:• Accountability – the ability of the public to hold

government officials responsible for their actions.• Bureaucratic accountability – principles of political

accountability applied in an effort to control the bureaucracy

Congressional Control Over the Bureaucracy

• Two Competing Theories:• Presidential Dominance• Support for President: Moe, Wood and Waterman

• Theory of Congressional Dominance – every important action that bureaucrats do can be predicted by examining the preferences of the Congressional subcommittee.

• Supported by: Calvert and Moran• Congress dominates through its oversight function: • Oversight – whether, to what extent, and in what way Congress

attempts to detect and remedy executive branch violations of legislative goals.

The Theory of Congressional Dominance

• McCubbins, Mathew D. and Thomas Schwartz. 1984. “Congressional Oversight Overlooked: Police Patrols versus Fire Alarms.” American Journal of Political Science. 28 (February): 165-179.• Police Patrol vs. Fire Alarm Oversight

• Most believe that the oversight task is too great for Congress (i.e. there are too many agencies to keep close track of/moral hazard)

• McCubbins and Schwartz, however, believe that this is because most of the focus is on police patrol oversight• Police patrol (proactive) – go out and patrol for problems

• Congress will examine a sample of agency activities (sample may miss violations)• Will detect and remedy violations of legislative goals• This surveillance will deter violations

• Fire alarm oversight (reactive) – Congress establishes a system of rules, procedures, and informal practices that enable citizens and interest groups to examine administrative decisions, to charge executive agencies with violating Congressional goals, and to seek remedies from agencies, courts, and Congress itself.• Criticism: interest groups will not pull the fire alarm (iron triangle)

• Which method of oversight do members of Congress prefer?• Fire alarm

• Why?• Frees their time for other work (i.e., getting reelected)

Tools of Congressional Control Over the Bureaucracy (Forms of Oversight)

• When discussing Congressional controls, we want to highlight three things:• How the form of control is dominant over the President• Whether the form of control/oversight is a police patrol or fire alarm• Agencies depend on Congress for existence, authority, programs, and funding.

• Budget/Appropriations• Agencies need money to keep running• Subcommittee that created the agency will inform the appropriations committee about the

performance of the agency• Reductions vs. restrictions

• What is the difference?• Do members of the committee/subcommittee want this?

• How does the budgetary control of Congress dominate?• While the president proposes the budget, Congress (in accordance with the Constitution) has the power

of the purse and makes the final decision.• Police patrol or fire alarm?

• Depends, sort of a mix• If the agency does not follow legislative preferences, punishment may be to reduce the budget.

Tools of Congressional Control Over the Bureaucracy (Forms of Oversight)

• Legislative Audits• The major player with regard to this form of oversight is the

Government Accountability Office• Watchdog/investigative arm of Congress• How the agency is spending tax dollars• Evaluate programs, recommends solutions reports findings to Congress• May results in budget change, legal action

• How do legislative audits dominate over the president?• It may not necessarily dominate, but is the Congressional version of the

OMB, thus reducing the influence of the OMB.• Police patrol or fire alarm? • Police patrol

Tools of Congressional Control Over the Bureaucracy (Forms of Oversight)

• Statutory Controls• Freedom of Information Laws

• Freedom of Information Act of 1966 (amended 1974)• Purpose:

• Helps uncover wrongdoings• Increases efficiency by exposing waste• Keeps them in check• In other words, more democratic

• Sunshine Laws• Government in the Sunshine Act

• Requires that administrative and legislative meetings be open to the public• Again increases the public’s ability to participate and hold administrators in check.

• Sunset Laws• Provision in an agency’s charter that places a termination date on the program.• May be renewed at the discretion of Congress.• Makes administrators more like elected officials by serving “terms”.• Can only serve longer if they have demonstrated “good behavior”.• Helps fight government growth by providing a time in which Congress can evaluate the usefulness and

performance of the agency.• All of these seek to give interested parties a greater ability to hold government officials accountable

Tools of Congressional Control Over the Bureaucracy (Forms of Oversight)

• Statutory Controls (cont’d)• APA (Administrative Procedure Act)

• By establishing procedures for rulemaking and adjudication, Congress makes agencies more accountable to the public and Congress itself.• Remember the values: participation, information, reasoned decision making.• Example: notice and comment period – means that an agency can’t slip a rule by quickly or quietly• So the requirements of the APA make agencies more accountable to the groups they serve.

• Agency Charters• Remember Congress possesses legislative power and uses this power to create the guiding statutes that

authorize agencies.• Congress can choose to revise this statute by passing a new law.

• How do statutory controls dominate?• Only Congress has the power to make laws. Though the president can veto, Congress can override.

• Police patrol or fire alarm?• All of these are forms of fire alarm• The laws are written in a way that allows access for interest groups who are used as watchdogs or

those that can pull a fire alarm when necessary.

Tools of Congressional Control Over the Bureaucracy (Forms of Oversight)

• Hearings• The subcommittee/committee responsible for the agency/program will hold regular

hearing to keep them in check.• Very much a judicial function of Congress

• Witnesses, testimony, evidence• All of the above come from the GAO, OMB, and the agency.• Sometimes Whistleblowers (Whistleblower Protection Act)

• Often occur before recommendations for appropriations are made• Police patrol or fire alarm?

• Police patrol when it is a routine hearing• Some hearing though results of fire alarms

• Appointments• Senate must confirm presidential nominees• Senatorial courtesy

• Legislative Veto• Next time

Other Reasons for Congressional Dominance

• Presidential tools of control:• Appointments • Must be approved by the Senate

• Reorganization • Power given by Congress and can be taken away

• Budget • Congress has the final say

• Executive Orders• Congress may pass laws that overturn executive orders