First Exam Review SheetPOSC 186: Regulation: a Political Perspective

U.C. Riverside, Dr. Bordner

Please note: Students are responsible for reading and knowing what is contained in all of the assigned chapters, as well as anything covered in class discussions, lectures, hand-outs, and discussion sections. This review sheet is not meant to be all inclusive, but rather a general guide as to the types of things that may be included on the exam.

The Constitution:• Three Separate Branches.• Separation of Powers.• The “Fourth Branch of Government.”

Interpret, Implement, and Enforce Laws.Enact Rule.

• Article I, Section 8: Powers of the Congress.

Congress: Lawmaking and Oversight.

Bureaucratic history.

“Spoils System”“Civil Service Reform Act of 1883.”“Civil Service Reform Act of 1978.”“The Office of Personnel Management.”

Modern attempts are Bureaucratic Reform:• “Sunshine Laws.”• “Sunset Laws.”• “Privatization.”• “Incentives for Efficiency and Productivity.”• “Whistleblowers.”• “Congressional Review Act of 1997.”• “Enabling Legislation.”• “Iron Triangles.”• “Issue Networks.”

Max Weber: Four things bureaucracy’s possess:• Hierarchy.• Specialization.• Rules and Regulations.• Neutrality.

Three Models of Bureaucracy:• Weberian.

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• Acquisitive.• Monopolistic.

Organization of the Bureaucracy:• Executive Departments.• Independent Agencies.• Independent Regulatory Agencies.• Government Corporations.

A “Rule.” (Define it!)

Why Rule-Making? (Why does it exist?)

Three Major Types or Categories of Rules:• Legislative or Substantive Rules.• Interpretive Rules• Procedural Rules.

What and Whom Do Rules Affect?• Regulating Corporate Behavior:• Regulating Public Behavior• Regulate Doing business with the Government.• Regulate how government agencies are supposed to operate.

Making Law, Implementing Law, and Enforcing Law• Is it Democratic?• The difference between implementing and making law.

The Players or Actors involved in Regulation:• The Congress• The Executive• The Courts• Interest Groups

What is Bureaucratic Discretion?

The Administrative Procedures Act.

What are the Core Elements of Rulemaking:• Information.• Participation.• Accountability.

What are the different types of Information.

What are Information Statutes and Information Requirements.

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How do the following impact agencies:• Participation.• Accountability.• Exceptions and Evasions.

Types of Participation:• Oral or written communications and consultation.• Investigations.• Conferences.• Advisory Committees.• Hearings: Formal and Informal.• Also: Direct Bargaining.

Avoidance of rulemaking.

Does Participation matter?

The Formal Stages of Rulemaking:The Origin of Rulemaking Activity.Origin of Individual Rulemaking.Authorization to Proceed with Rulemaking.Planning the Rulemaking.Developing the Draft Rule.Internal Review of the Draft Rule.External Review of the Draft Rule.Revision and Publication of a Draft Rule.Public Participation.Action on the Draft Rule.Post-Rulemaking Activities.

What types of things impact the volume of rulemaking?

What do we mean when we say rules should be effective, efficient, and predictable?

Simplicity vs. Complexity in rulemaking.

Timeliness. Does it matter?

Is rulemaking controversial? If so, in what ways, and why?

The Agency Cost of Rulemaking.Bureaucratic Discretion.

Management of Rulemaking occurs on three levels:• The level of the White House.• At the Agency.• Within the Agency.

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The Level of the White House:• “Regulatory Council.”• “Regulatory Analysis Review Group.”• The Office of Management and Budget.

President Carter’s Five Principles for Guiding Rulemaking:• Oversight of rulemaking by agency heads.• Increased public participation in the development of

rules.• Regulatory Analysis.• Sunset Review for Obsolete Rules.• “Plain English” rules.

Other presidential reforms since President Carter.

Agency Management:• Deciding whether to Rule-Make or Not.• Role of Politics.• When Rulemaking is Initiated:

Initial Approvals.Early Input.Planning Documents.Concurrence.The Public.Data Collection and Analysis.“The Rule.”

Within the Agency:Working Groups:

The use of working groups, as well as the concepts of Leadership, Membership and Management of working groups.Vertical and horizontal reviews.

Five Types of Information in Rulemaking:Legal Information.Policy Information.Technical Information.Political Information.Managerial Information.

Oversight of Rulemaking:Executive Accountability:Congressional Accountability:Judicial Accountability:Theories of Accountability:

• Principle Agent Theory.- Police Patrol and Fire Alarm Oversight.

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Accountability to President.• Cost Benefit Analysis.

Structure of the Federal Courts.

“Standing to Sue.”

“Hammers” and “deadlines.”

Why is regulation a political process?

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