PS-310 Midterm

Governance Definitions

  • Governance is the combination of administration and policy.
    • Administration is commonly conceived as implementation.
    • Policy is conceived as guidance or direction to administrators.

The Dichotomy of Governance

  • Woodrow Wilson is credited with the idea known as "The dichotomy."
    • Key Features:
    • Separation of administrative roles and policy roles in government.
    • Policy makers create law (policy).
    • Administrators implement the law.

The 3 E's in Governance

  • 3 E’s: Efficiency, effectiveness, equity.
    • Importance: Equity is extremely important for a liberal democracy.

Ethical Considerations in Governance

  • Criminal Virtue: Being good for the state but more feared than good as a person.
  • Difficult Decisions: Involves ethical trade-offs.
  • Social Order Responsibility: The government is responsible for maintaining social order.

Public vs. Policy vs. Public Policy

  • Public: Refers to the electoral constituency of a geopolitical unit such as a nation or state.
  • Policy: The intent of government action.
  • Public Policy: Defined by Thomas Dye as "whatever government chooses to do or not to do."

Characteristics of Public Policy

  • Public Policy is:
    • A stable process that links policy to goal-oriented action.
    • Composed of actions taken over time by government officials.
    • A response to public demands.
    • Reflective of what the government actually does.
    • Capable of being either negative or positive, and can also result in no action.

Policy Making and Decision Making

  • Policy Making involves:
    • Requires decision-making.
    • Decision-making requires the use of power.
    • Decisions lose significance if they are not adhered to.

Power and Authority Distinctions

  • Power: Defined by Weber as the ability to make someone do something against their will.
  • Authority: Legitimized power.
    • Legitimization: Based on the consent of the people in the political context.
    • Sovereign Authority: Based upon the willing consent of the people and not coerced acceptance.

Founding Principles of Governance

  • Founders feared tyranny from both the monarch and the masses, leading to:
    • Dispersion of power across the political and social horizon.
    • Distribution of power reduces concentration in a single entity.

Cornerstones of American Government

  • Cornerstones:
    • Divided power.
    • Compromise.
    • Equilibrium.

Federalism

  • Sovereign Authority in Federalism:
    • Two dimensions exist: central authority for the execution of specific responsibilities and state authority for local responsibilities.
    • Sovereign authority is granted by the ruled in a differential manner.

Advantages of Federalism

  • Government is closer to the people.
  • State and local governments can be tailored to local needs.
  • The federal government can focus on national issues.
  • Power offsets power, promoting a diversity of interests.
  • Individual liberty is safeguarded.

Disadvantages of Federalism

  • Complexity and confusion in government.
  • Conflict of law arises.
  • Duplication of authority occurs.
  • Lines of accountability become blurred.
  • Poor coordination of nationwide policy.
  • Inequity of services across states.

Historical Evolution of Federalism

  • Historical periods include:
    • 1789-1865: The Union in peril.
    • 1865-1937: Dual Federalism.
    • 1937-Present: Cooperative Federalism.

Dual Federalism Explained

  • Dual Federalism: The layer cake analogy (Grodzins).
    • Assumes precise separation of government authority.
    • Associated with Laissez-faire Capitalism where state issues mostly manage commerce.
    • Four core principles:
    • National government operates under enumerated powers only.
    • Limited constitutional purposes for national government.
    • Each government maintains sovereign authority in its defined responsibilities.
    • Relationship between federal and state governments characterized by tension, not cooperation.

Reasons for Growth of the Federal Government

  • Response to economic depression.
  • Rise of national institutions and federal regulatory agencies.
  • Perception that state and local governments were inadequate to meet demands.

Cooperative Federalism Champions

  • Influenced by leaders such as:
    • FDR with "The New Deal."
    • John Maynard Keynes.
    • Lyndon Johnson with "The Great Society."

Intergovernmental Relations (IGR)

  • Intergovernmental Relations (IGR): Cooperation among various government levels for effective governance.
    • Governance is distributed among national leadership, state oversight, and local implementation.
    • Most issues have implications at multiple government levels.

Federal Policy Influence Mechanisms

  • Direct Mandates: Require states to comply based on constitutional authority.
  • Indirect Mandates: Require compliance due to state consent or federal funds, including:
    • Preemptions: Federal policies replacing state options (e.g., driving age).
    • Crossover Requirements: Mandated maintenance of certain policies (e.g., child abuse policy).

Theory of Fiscal Federalism

  • Fiscal Federalism: Federal government captures revenue while states allocate funding and implement programs.
  • Distribution of revenue empowers the federal government’s influence on state and local policies.

Baiting the States

  • Federal financial incentives encourage state compliance with policies.
  • Funding dependencies maintain existing policies.
  • Constituencies benefiting from federal funding resist change.

Conclusion on Fiscal Federalism

  • Fiscal federalism profoundly influences state and local policy.
  • Balances benefits and challenges in the federal policy role.
  • Rising fiscal problems at the federal level threaten future influence.

Policy Dimensions Overview

  • The Iron Triangle (Robert Michaels) represents a three-actor paradigm influencing policy.
  • Policy Networks (Hugh Heclo): An evolving collaboration of groups impacting policy.
  • Punctuated Equilibrium (Baumgartner and Jones): Stability in policy is the norm until disrupted.

Legislative Bodies and Governance

  • Legislative bodies are elected law-making entities.
    • Core policy-making mechanism with support from administrative staff at various levels:
    • Congress, state legislatures, county commissioners, city councils.

Roles of the Chief Executive

  • Elected to represent the entire political unit.
  • Responsible for overseeing administrative functions and policy implementation (e.g., President, governor, mayor).

The Courts in Governance

  • Supreme Court is the final authority on legal interpretations.
    • Also includes lower federal courts and state court systems.
    • Roles include:
    • Interpreting the law.
    • Assuring compliance with constitutional principles.
    • Ruling on administrative actions.
    • Responding to policy challenges.

Problems with Bureaucracy

  • Issues include:
    • Administrative discretion leading to varying interpretations.
    • Limits on accountability causing oversight difficulties.

Unofficial Actors and Interest Representation

  • Unofficial actors influence policy based on their participation level:
    • Individual citizens, media, and interest groups.
    • Media shapes public opinion and agenda items.
    • Interest groups mobilize support and are more visible in policy processes, as noted by Theodore Lowi, who claims individuals are less influential than groups.

Theories of Influence in Policy Making

  • Influence Models: Pluralist and Elitist.
    • Federalist 10 discusses controlling factions:
    • Factions are inherent and can lead to tyranny if unchecked.
    • Promote pluralism by having multiple factions competing against each other.

Pluralism vs. Elitism

  • Pluralism: Policy emerges from competition among various groups advocating for interest.

    • Government acts as a referee among conflicting groups.
    • Assumes free access for all groups to influence public policy.

  • Elitism: Contrasts pluralism, focusing on the elite's control over policy-making.

    • Resources and knowledge barriers limit group formation.
    • Elites maintain the status quo by defining what influences government actions.

Mancur Olson’s Critique of Pluralism

  • Olson argues groups primarily form to benefit their members.
    • Rational Choice Perspective: Individuals join groups for personal gain.
    • Highlights free rider problem: individuals enjoy benefits without contributing to group efforts.

Overview of Influence Paradigms

  • Pluralism: Groups operate freely, competing to influence policy.
  • Elitism: A few elite groups exercise significant control, sidelining less advantaged individuals.
  • Mancur Olson: Focus on the resource disparities affecting group mobilization.

Policy Formulation Processes

  • Identification of problems and agenda setting.
  • Policy formulation involves competitive alternative selection leading to final decision making.

Key Alternative Selection Approaches

  • Alternatives must be:
    • Acceptable technically, politically feasible, and financially affordable.

Incrementalism in Policy Development

  • Policy change is gradual and often influenced by existing structures and knowledge.

Types of Formation in Policy Development

  • Routine: Adjustments based on high knowledge of effects and causes.
  • Creative: Radical changes based on low knowledge of effects and causes.
  • Conditional: Addresses symptoms with known effects but low causation understanding.
  • Craftsman: Responding to uncertain conditions with flexible approaches.

Policy Design and Implementation Planning

  • Defined as planning for implementing policies with regard to technical and political constraints.
  • Good design is essential for successful implementation.

Types of Legitimate Authority (Weber)

  • Traditional: Authority based on established beliefs.
  • Charismatic: Authority stemming from perceived exceptional individual leaders.
  • Legal/Rational: Authority based on laws and legal precedents, particularly within constitutional democracy.

Constitutional Authority and Legitimacy

  • Action must align with constitutional law to be considered legitimate.
  • Practices not grounded in law can face challenges.

Understanding Legitimacy in Governance

  • Legitimacy involves citizens' beliefs that their government’s actions are appropriate and justified.
  • Must pass tests of legality and political acceptability.

Legitimization through Majoritarian and Non-Majoritarian Actions

  • Types of legitimization include:
    • Majoritarian: Actions reflecting mass approval.
    • Non-Majoritarian: Actions taken by courts or bureaucracies that do not directly represent the public.

Legislative Oversight and Procedural Legitimacy

  • Legislative bodies prioritize procedural legitimacy through extensive review and discussion.
  • Oversight ensures that laws are implemented as intended, although capacity is limited.

Administrative Law-Making and Judicial Review

  • Administrative procedures hold the power of law, regulated under the Administrative Procedures Act.
  • Judicial review ensures that individual rights are upheld and law's legitimacy is affirmed.

Administrative Discretion and Implementation Challenges

  • Administrative discretion holds the potential to shift the implementation process.
  • Relationships between principal (policy-makers) and agents (administrators) are crucial for effective governance.

Implementation Strategies

  • Varied approaches include:
    • Top-down Implementation: Directed from hierarchical levels not sensitive to local needs.
    • Bottom-up Implementation: Adapts to local contexts but may deviate significantly from legislative intent.

Performance Management in Governance

  • Components to be measured include clear outcomes, performance indicators, employee appraisals, resource allocations, and organizational reviews.