Chapter 9: The Executive Branch and the Bureaucracy 

Constitutional Origins of the Presidency

• Delegates to the Constitutional Convention studied Montesquieu and Locke's writings, British monarch powers, and American colonial governors' roles.
• They wanted power to rest with the people and not a king.
• Debate arose over a single versus a plural executive and a weak executive appointed by Congress versus a strong executive independent of the legislature.
• The final compromise created a single executive with limited powers by the checks and balances of the legislative and judicial branches.
• In Federalist No. 70, Alexander Hamilton argued for a strong executive, stating that energy in the executive is essential to good government, protection against foreign attacks, steady administration of laws, protection of property, justice, and security of liberty.
• The Constitution establishes formal qualifications for the president, such as natural-born citizenship, at least 35 years of age, and a resident of the US for 14 years prior to election.
• Historically, many candidates shared characteristics like political or military experience, political acceptability, being married, white male, Protestant, and of Northern European ancestry.
• Barack Obama was the first African-American to receive a major party nomination and win the presidency in 2008 and 2012.
• Hillary Clinton became the first woman to win a major party nomination in 2016 but lost the general election to Donald Trump.

Term and Tenure:

• The Founding Fathers created a single executive, elected indirectly through an electoral college for a four-year term.
• Until the addition of the Twenty-Second Amendment in 1951, the president's number of terms was unlimited.
• The Twenty-Second Amendment limits the president to two elected terms after Franklin D. Roosevelt won four times.

Succession and Disability:

• If the president can no longer serve, the vice president will carry out the powers and duties of the office.
• The Constitution does not state that the vice president shall become president; that tradition began with the death of W. H. Harrison.
• The Twenty-Fifth Amendment was added to the Constitution after the assassination of John F. Kennedy, stating that the vice president becomes president if the office of the president becomes vacant.
• The Twenty-Fifth Amendment also provides for presidential disability, where the vice president becomes acting president if the president is unable to perform their duties.
• The president may resume the duties of the office upon informing Congress that no disability exists.
• If the vice president and the majority of the cabinet disagree, Congress has 21 days to decide the issue of presidential disability by a two-thirds vote of both houses.

Impeachment and Removal:

• The Constitution allows for the removal of a president from office through the impeachment process.
• Impeachment involves bringing charges of wrongdoing against a government official.
• The House of Representatives has the authority to impeach the president or vice president for "Treason, Bribery or other High Crimes and Misdemeanors."
• Once charges of impeachment have been levied, the Senate sits in judgment of the charges, and the chief justice of the Supreme Court presides over the trial.
• If found guilty, the official may be removed from office, requiring a two-thirds vote of the Senate.

The Road to the White House and The Electoral College System

• Two ways of becoming president: succeed to the office or win an election to the office.
• Most presidents have been elected to office.
• Nominees seeking the office have gained political experience through elected or appointed offices such as Congress, state governors, vice president, cabinet member, or military leaders.
• The Constitution and the Twelfth Amendment state that an electoral college elects the president and vice president.
• Each state chooses a number of electors equal to its number of members in the House of Representatives and Senate in a method set by the state legislatures.
• In the general election, voters go to the polls and vote for the candidates of their choice.
• In December, the electors of the respective candidates meet in each state capital to cast ballots for president and vice president.
• The electoral college sends the ballots to the president of the Senate, where they are opened before a joint session of Congress and counted.
• A candidate must receive a majority of electoral votes (270) to win the election.
• If no candidate for president receives a majority of electoral votes, the House of Representatives chooses the president from among the top three candidates.
• If no candidate for vice president receives a majority of electoral votes, the Senate chooses the vice president from the top two candidates.

The Vice Presidency

• Historically, the position of the Vice President has been seen as one to be avoided by ambitious politicians.
• The Vice President has two constitutional duties: to preside over the Senate and to help determine presidential disability under the Twenty-Fifth Amendment and take over the presidency if necessary.
• The formal qualifications for Vice President are the same as those for the President.
• The Vice President serves a four-year term and there is no limit on the number of terms a Vice President can serve.
• The nominee for Vice President is selected by the presidential nominee at the national convention.
• The choice of nominee is often influenced by the party's desire to balance the ticket, which means to improve a candidate's chances of winning the election by choosing someone from a different faction of the party or from a different geographic section of the country.
• With the assassination of Kennedy and attempts on the lives of Ford and Reagan, more attention has focused on the Vice President.
• Today, the Vice President is often given a larger role in government, taking part in cabinet meetings, serving on the National Security Council, and acting as the President's representative on diplomatic missions.
• More consideration is also given to the background, health, and other qualifications of Vice Presidents.

Presidential Powers

• Article II of the Constitution outlines the powers of the president.
• The power of the modern presidency comes from the men who have held the office and have shaped the use of these powers.
• The presidency has been rated as strong or weak by historians.
• The formal and informal powers of the president can be categorized as executive, legislative, diplomatic, military, judicial, and party powers.

Executive Powers:

• Enforces laws, treaties, and court decisions.
• Presides over the cabinet and executive departments.
• Grants pardons for federal offenses except in cases of impeachment.
• Nominates judges of the Supreme Court and all other officers of the United States (with the consent of the Senate).

Legislative Powers:

• Gives annual State of the Union message (constitutionally required) identifying problems, recommending policies, and submitting specific proposals (president’s legislative agenda).
• Issues annual budget and economic reports.
• Signs or vetoes bills. Presidents must sign or reject the bill in its entirety.
• Proposes legislation and uses influence to get it passed.
• Calls for special sessions of Congress.

Diplomatic Powers:

• Appoints ambassadors and other diplomats.
• Negotiates treaties and executive agreements.
• Meets with foreign leaders in international conferences.
• Accords diplomatic recognition to foreign governments.
• Receives foreign dignitaries.

Military Powers:

• Serves as commander-in-chief of the armed forces.
• Has final decision-making authority in matters of national and foreign defense.
• Provides for domestic order.

Judicial Powers:

• Appoints members of the federal judiciary.
• Grants reprieves, pardons, and amnesty.

Party Powers:

• Is the recognized leader of the party.
• Chooses vice-presidential nominee.
• Strengthens the party by helping members get elected (coattails).
• Appoints party members to government positions (patronage).
• Influences policies and platform of the party.

Summary of Presidential Powers

• Formal Powers:

  - Faithfully execute the laws

  - Sign or veto legislation, including pocket veto when the president refuses to sign a bill at the end of a legislative session and the bill dies

  - Commander-in-chief of Army and Navy and of the militia of the several states

  - Make treaties, with the advice and consent of the Senate

  - Appoint ambassadors, other public ministers and consuls, judges of the Supreme Court, and all other officers of the United States (with Senate approval)

  - Receive ambassadors and other public Ministers

  - Power to grant reprieves and pardons, except in cases of impeachment

  - Provide Congress with information on the state of the union

  - Fill vacancies that may happen during the recess of the Senate

  - Convene in special session or adjourn Congress when it cannot agree on adjournment

  - Commission all officers of the United States.

• Informal Powers:

  - Executive orders: Orders issued by the president that carry the force of law (i.e., FDR's internment of Japanese-Americans during World War II)

  - Executive agreements: International agreements made by a president that have the force of treaty but do not require Senate approval (i.e., Jefferson's purchase of Louisiana from France in 1803)

  - Executive privilege***:*** Claim by presidents that they have the discretion to decide that the national interest will be better served if certain information is withheld from the public, including the courts and Congress (For example, Nixon's refusal to turn over the Watergate tapes. In United States v. Nixon, the Supreme Court ruled that executive privilege did not apply and Nixon must turn over the tapes. They did not strike down executive privilege.)

  - Signing statements: written comment issued by a president at the time legislation is signed. Signing statements may make comments about the bill signed, or indicate the president's attitude towards the bill and how he intends to ignore it or to implement it

  - Persuader (bully pulpit): Teddy Roosevelt's referred to the White House as a "bully pulpit," a platform to communicate with the American people and promote his agenda through the media coverage of presidential events.

  - Crisis manager: President is a key player in domestic and foreign crisis management.

  - Leader of the free world: Meets with world leaders in international conferences.

  - Party leader: Head of his own political party.

Limitations on Presidential Powers

• The Founding Fathers provided checks on executive powers to avoid the possibility of abuses by the executive.

• Congressional checks include:

• Override presidential vetoes with a two-thirds vote of both houses of Congress.

• Power of the purse, which requires agency budgets to be authorized and appropriated by Congress.

• Impeachment power.

• Approval powers over appointments.

• Legislation that limits the president's powers, such as the War Powers Act.

• Legislative vetoes, which were declared unconstitutional by the Supreme Court in 1983.

• Judicial checks include judicial review of executive actions.

• Political checks include:

  - Public opinion.

  - Media attention.

  - Popularity.

Presidential Character

• Political scientist James David Barber classified presidents into four types based on their personality and character: active-positive, active-negative, passive-positive, and passive-negative.
• Active-positive presidents take pleasure in their work, easily adjust to new situations, and are confident in themselves (e.g. FDR, Truman, Kennedy, Ford, Carter, Bush).
• Active-negative presidents are hard workers but do not enjoy their work, are insecure in their position, and may be obsessive or antagonistic (e.g. Wilson, Hoover, LBJ, Nixon).
• Passive-positive presidents are easygoing, want agreement from others with no dissent, and may be overly confident (e.g. Taft, Harding, Reagan).
• Passive-negative presidents dislike politics and tend to withdraw from close relationships (e.g. Coolidge, Eisenhower).

The President and Congress:

• The Founders wanted "ambition to counteract ambition" to prevent tyranny, so they created a rivalry between the executive and legislative branches by assigning important constitutional powers to each.
• Although both branches work closely together to address critical problems, they are often in conflict.
• They are most likely to agree in the first year of a president's term or when one party controls both branches. They are most likely to fight late in the president's first term and off and on throughout the president's entire second term.
• The reasons for this conflict include different electoral constituencies, internal design (structure) of institutions, information and expertise, differing timetables, and competing campaigns.
• Congress and the president are also cooperative at times due to party loyalty and public expectations, bargaining and compromise, and informal links and associations.

The Bureaucracy

• A bureaucracy is a structured system for organizing a large and complex administrative body responsible for the day-to-day tasks of the organization.
• The federal bureaucracy is the largest in the United States, with 2.8 million employees.
• Bureaucracies generally follow three principles: hierarchical authority, job specialization, and formal rules.
• The history and growth of the bureaucracy includes the beginning of standards for office, the spoils system, and the reform movement.
• The Pendleton Act of 1883 replaced the spoils system with a merit-based system of hiring and promotion.
• The Hatch Act of 1939, amended in 1993, prohibits government employees from engaging in political activities while on duty or running for office or seeking political funding while off duty.
• The Civil Service Reform Act of 1978 created the Office of Personnel Management to recruit, train, and establish classifications and salaries for federal employees.
• The federal bureaucracy is divided into four types: cabinet departments, independent executive agencies, independent regulatory agencies, and government corporations.
• Executive and congressional influences affect the bureaucracy, including appointments, budgets, and legislation.
• Iron triangles are alliances that develop between bureaucratic agencies, interest groups, and congressional committees or subcommittees.
• Issue networks are individuals in Washington located within interest groups, congressional staff, think tanks, universities, and the media who regularly discuss and advocate public policies.

The Executive Office of the President (EOP)

The Executive Office of the President (EOP) consists of the closest advisors to the president, and it was established in 1939. The EOP has several separate agencies, including:

• White House Office: Personal and political staff members who help with the day-to-day management of the executive branch.
• National Security Council: Advises the president on matters of domestic and foreign national security.
• Office of Management and Budget: Helps the president prepare the annual federal budget.
• Office of Faith-Based and Community Initiatives: Created by George W. Bush to encourage and expand private efforts to deal with social problems.
• Office of National Drug Control Policy: Advisory and planning agency to combat the nation’s drug problems.
• Office of Policy Development: Gives the president domestic policy advice.
• Council of Economic Advisers: Informs the president about economic developments and problems.
• Office of U.S. Trade Representative: Advises the president about foreign trade and helps negotiate foreign trade agreements.
• Office of U.S. Trade Representative: Advises the president about foreign trade and helps negotiate foreign trade agreements.
• Council on Environmental Quality: Coordinates federal environmental efforts and analyzes environmental policies and initiatives.
• Office of Science and Technology Policy: Advises the president on the effects of science and technology on domestic and international affairs; it also works with the private sector and state and local governments to implement effective science and technology policies.
• Office of the Vice President: Consists of the vice president’s staff.

Each president re-organizes the EOP according to their leadership style.

Executive Departments

• State (1789): Advises the president on foreign policy, negotiates treaties, and represents the United States in international organizations.
• Treasury (1789): Collects federal revenues, pays federal bills, mints coins and prints paper money, and enforces alcohol, tobacco, and firearm laws.
• Defense (1789): Formed from the Department of War and the Department of the Navy (1789) but changed to the Department of Defense in 1947; manages the armed forces, operates military bases.
• Interior (1849): Manages federal lands, refuges, and parks; operates hydroelectric facilities; manages Native American affairs.
• Justice (1870): Provides legal advice to the president, enforces federal laws, represents the United States in court, and operates federal prisons.
• Agriculture (1889): Provides agricultural assistance to farmers and ranchers, inspects food, and manages national forests.
• Commerce (1903): Grants patents and trademarks, conducts the national census, and promotes international trade.
• Labor (1913): Enforces federal labor laws (child labor, minimum wage, safe working conditions), and administers unemployment and job training programs
• Health and Human Services (1953): Administers Social Security and Medicare/Medicaid programs, promotes health care research, and enforces pure food and drug laws.
• Housing and Urban Development (1965): Provides home financing and public housing programs, and enforces fair housing laws.
• Transportation (1967): Promotes mass transit programs and programs for highways, railroads, and air traffic, and enforces maritime law.
• Energy (1977): Promotes development and conservation of fossil fuels, nuclear energy, research programs.
• Education (1979): Administers federal aid programs to schools, and engages in educational research.
• Veterans’ Affairs (1989): Promotes the welfare of veterans of the armed forces.
• Homeland Security (2002): aims to prevent terrorist attacks and minimize damage in the US. It includes various agencies such as the Coast Guard, Secret Service, Border Patrol, Immigration and Visa Services, and Federal Emergency Management Agency (FEMA).

The Bureaucracy and Policy Making:

• The bureaucracy's primary role is the implementation of public policy, and it has a significant impact on public policy making.

• Bureaucrats have discretionary authority to interpret legislation and "fill in the gaps" where Congress has left the legislation vague, which allows them to write specific regulations that determine the implementation of public policy (rule-making).

• Controlling the actions of bureaucracy can be difficult because of the size of the bureaucracy, the expertise of bureaucrats, civil service laws that make firing bureaucrats difficult, and the political independence of independent agencies.

• The president, Congress, and the courts have ways to control the bureaucracy.

  - The president can suggest a budget for an agency, appoint top officials, and have the Office of Management and Budget oversee agency budgets.

  - Congress can set appropriations, pass laws affecting agency operations, approve or reject appointments, and conduct oversight with hearings and investigations.

  - The courts can also make rulings that support or oppose agency actions.

• Interest groups can influence the bureaucracy by lobbying congressional committees, and sometimes an "iron triangle" of a bureaucratic agency, interest group, and congressional committee may form.

• Bureaucratic capture occurs when regulatory agencies are more loyal to interest groups than to elected officials.

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