Speaking Notes

PADM 5301

March 2, 2010

Dr. Neubauer

WE ARE IN CHAPTER 8 THE LEGISLATIVE ASPECTS OF BUDGETARY PROCESSES

We will skip Chapter 9. If you get an important position in a federal agency you should read Chapter 9.

The legislative branch goes by different names at different levels.

• Congress
• General Assembly
• City Council
• County Commission
• School Board

The role of a legislature is to craft public policies and to provide OVERSIGHT of the relevant agencies. They hold the "purse strings."

The EXECUTIVE BRANCH is charged to exercise political authority over the agencies.

The metaphor that comes to mind is two parents and several children. Given this metaphor the agencies are the children. If the two parents have similar values and goals for the family the children at least are getting consistent messages. However, if the parents are not in harmony the children . . .

• get confusing or conflicting signals
• may try to play off the parents, one against the other

REASONS WHY THE TWO BRANCHES MAY BE AT ODDS WITH EACH OTHER.

• Differences in constituencies
• Controlled by different political parties
• Different patterns of relationships with major interest groups/lobbyists
• Personalities and personal histories

NOW, SEE THIS FROM THE PERSPECTIVE OF AN AGENCY EXECUTIVE.

• Wants policies that become programs that have a prayer of being successful.
• Wants programs that have mechanisms known to be effective.
• Prefers programs with public support.
• Prefers programs intended to address chronic needs.
• Does not want to get caught up in a no win situation in which appealing to one branch alienates the other branch.
• May prefer low-profile programs that are relatively small and noncontroversial.
• WANTS THE OPPORTUNITY TO EXERCISE SUBSTANTIAL ADMINISTRATIVE DISCRETION in program implementation.
• Wants to know what records to keep and what documentation to prepare on a regular basis.
• Wants to stay off the front page of the newspapers.

The legislative branch is often BICAMERAL, meaning that the passage of legislation (including budgets) involves not only the relationship between the executive and the legislative but involves the interaction of two different CHAMBERS of the legislature.

There is always a RIVALRY between the two chambers, which may not be a pleasant rivalry. One chamber is usually larger than the other. The structures of COMMTTEES AND SUBCOMMITTEES is likely to be similar but not the same.

Likewise, the alignment between legislative committees and EXECUTIVE DEPARTMENTS is likely to be an imperfect match.

From the agency perspective this complicates the challenge of having to interact with multiple legislative leaders who are likely to "not like" each other.

Patterns of PARTY AFFILIATION may be relevant.

Legislatures usually work on the basis of DEFERENCE to committee and subcommittees. Generally what is decided at that level passes on the floor.

EVERYONE IS WORKING WITHIN CONSTRAINTS

revenue projections

mandates

entitlements

multi-year contracts

things passed by citizen initiative and referendum

economic conditions

EVERYONE IS WORKING UNDER TIME CONSTRAINTS

EVERYONE IS WORKING UNDER POLITICAL CONSTRAINTS

increased political polarization among the voters

the need to raise large amounts of money from lobbyists and others

media relations -- difficult to communicate effectively in sound bytes

different constituencies

NOW, LOOK AT THIS FROM THE PERSPECTIVE OF A LEGISLATOR

• There are few rewards for oversight. It is a lot of work that could be invested in other ways.
• Over dependence on staffers becomes a shift of power to the staffers who may or may not be politically trustworthy.
• "Job 1" is bringing home the "bacon."
• Case work is more effective than oversight in terms of getting reelected.

TERM LIMITS ARE INCREASINGLY AMONG LEGISLATURES

• Intent is to get rid of corrupt representatives who are entrenched in office.
• Has the effect of destroying the INSTITUTIONAL MEMORY of legislative bodies.
• Shifts power toward professional staff persons.
• SHIFTS POWER TOWARD THE EXECUTIVE BRANCH.
• If legislators are corrupt probably only causes more corruption.

Legislators often make deals among themselves so that each gets what he or she wants. This goes by different names including LOG ROLLING and HORSE TRADING.

This and other common legislative practices tends to INFLATE SPENDING and frustrate attempts to make MEANINGFUL CHOICES necessary if we are to be FISCALLY RESPONSIBLE.

Some executives have ITEM VETO which means the ability to strike out parts of budgets. Legislators want "the horses they traded for."

CHIEF EXECUTIVES usually have the power to issue directives to the agencies. Some legislatures have what is called a LEGISLATIVE VETO that can limit the abilities of the chief executive to "rule" the agencies.

One of the most effective means by which legislatures perform a kind of oversight is by passing laws that include SUNSET provisions and requiring agencies to FULLY JUSTIFY programs prior to scheduled sunset.

NEXT WEEK -- CHAPTER 10 ON BUDGET EXECUTION