2. Chapter 14: Administrative Accountability, Effectiveness, Politics

3. Separation of Powers Congress creates the organizational structure within which bureaucrats work – authorizes the bureaucrats’ positions and the programs they administer. – Congress appropriates funds. – Congress retains the right to investigate how bureaucrats spend the money and run the programs.

4. Paradox of Oversight Paradox: much of what Congress does is oversight, yet the activity tends to rank low among congressional priorities. Many congressional actions involve some form of supervision of administrative actions. However, reelection takes priority over routine oversight.

5. Fire Alarm and Police Patrols McCubbins and Schwartz’s theory: “fire alarm” style of oversight. Congress responds to complaints as they arise. Congress does not manage oversight like a “police patrol,” conducting routine patrols at its own initiative. Fire -alarm oversight is low cost and effective – Periodic interventions sparked by apparent problems, members of Congress can more clearly define the goals.

6. Purposes of Oversight Assurance that administrators follow the intent of Congress Investigation of instances of fraud, waste, and abuse Collection of information Evaluation of program effectiveness Protection of congressional prerogatives Personal advocacy Reversal of unpopular actions

7. Methods of Congressional Oversight Oversight by congressional committees and their staffs Program reviews conducted by the Government Accountability Office Gathering of performance-based information

8. Committee Oversight Legislative review: legislative oversight Three sets of standing committees with responsibility for legislative review: – Authorizing committees: regular legislative committees; because they prepare the laws that authorize programs, they have oversight responsibility to review administration of laws within their jurisdictions

9. Committee Oversight (continued) – Appropriations committees: conduct annual appropriations process; have added more riders and earmarks; effectiveness is mixed – Committees on government operations: Senate Committee on Government Affairs and House Committee on Government Reform; these committees have strongest powers for overseeing administrative activities

10. Importance of Information Congress has many committees for oversight but needs better information. Congress’s ability to monitor administrative activities effectively depends on its access to information. Barriers to information exist, as does too much useless data.

11. Barriers to Information Flow Secrecy: particularly with conduct of foreign affairs, the planning of military strategy and tactics, and pursuit of intelligence activities. Excessive security classification: – Can deny Congress information that has no valid claim to secrecy or confidentiality – Can withhold information from Congress that, though secret, is essential to congressional decision making and oversight

12. Barriers to Receiving Useful Information (continued) Executive privilege: a prerogative never mentioned in the Constitution but now asserted to be inherent in the president’s powers; popular during the Nixon administration

13. Barriers to Receiving Useful Information (continued) Administrative confidentiality includes protection of private information such as: – Individuals’ tax returns, completed census forms, possibly derogatory personal details collected in investigative agencies’ files, and business concerns’ trade secrets and financial data – Also, confidentiality related to drafts, memoranda, and other internal records bearing on policies and decisions that may or may not be under serious consideration

14. Response: Increase Staff Congress was overwhelmed with useless information for oversight. Congress responded by increasing staff. Between 1965 and 2009, congressional staffs doubled in size, whereas executive branch employment rose by just 6 percent.

15. Government Accountability Office (GAO) The 1921 Budget and Accounting Act transferred the government’s auditing functions from the Treasury Department to the new GAO. GAO audits the expenditures of executive- branch agencies. Over time, GAO’s power has expanded – All-purpose, external control agent.

16. Oversight by Gathering of Performance-Based Information Government Performance and Results Act (GPRA) of 1993: Congress required all federal agencies to produce strategic plans and to measure their success in achieving those goals; seven-year timeline Measures output, efficiency, customer service, quality, and outcome Obama administration reinforced focus on this via Performance.gov website.

17. An Assessment of Legislative Control Two problems that hinder effective legislative oversight: – Legislators often have limited interest and modest capacity for oversight – Legislators will intrude excessively into the executive function, sometimes to promote self- interests Fire alarms!

18. How Does Accountability Work? Systems for holding public administrators accountable have the following elements: – voluntary compliance – standard setting – monitoring – sanctions Accountability relies on: -Independence -Redundancy

19. Conclusion: Ethics and Public Service Responsiveness and effectiveness of public administration depend ultimately on the ethics of individual public administrators Quality and accountability depends on the decisions and values of administrators Ethical PA requires careful balance: – Values – Training Strong relationship between administrators and citizens