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POLI 370, Exam 1 Study Guide

by: runnergal

POLI 370, Exam 1 Study Guide POLI 370 001


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This study guide is a comprehensive overview of all terms discussed in class for the first exam.
Introduction to Public Administration
Dr. Xuhong Su
Study Guide
political science, Government
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This 10 page Study Guide was uploaded by runnergal on Sunday February 21, 2016. The Study Guide belongs to POLI 370 001 at University of South Carolina taught by Dr. Xuhong Su in Winter 2016. Since its upload, it has received 202 views. For similar materials see Introduction to Public Administration in Political Science at University of South Carolina.


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Date Created: 02/21/16
POLI 370 – Exam 1 Study Guide  Lecture 1 o Governments Are Characterized By: 1. Coercive power 2. Authoritative allocation of values and interests o Governments Use Power and Authority to: 1. Provide public goods: the government provides public goods such as  education, social security, Medicaid, etc. Primarily from 1789­1880s. 2. Solve collective problems: the government solves collective problems  such as air pollution. Primarily from 1880s­1960s. 3. Allocate interests and values: primarily from 1960s­now. o Public Goods Are: 1. Non­rival 2. Non­excludable o Governments Produce Public Goods Because: 1. Freeriding 2. No economic incentives o Collective Problems 1. Tragedy of the Commons 2. Externalities 3. Low­congestion goods 4. Achievement of social order and values o Social Equity Issue 1. Income gains are concentrated in the top 1% 2. Sustained gains 3. These gains have few trickle down benefits o Inequity Problems 1. Inequity occurs because public policy is influenced by both interest groups and super PACS that often originate in the business sector. 2. Divided governments find it hard to solve collective issues, since their  opinions on those issues are so different. 3. Devil shift phenomenon: one party will exaggerate their opponents’ power in order to inspire more resistance against its opponents.     Lecture 2 o Layers and Units of Government 1. Federal (1) 2. State (50) 3. County (3,043) 4. School district (13,726) 5. Special districts (34,683) 6. Total governmental units: 87,507 o Federal government takes care of sectors like defense, the postal service, and  social security. o State government takes care of sectors like higher education, liquor stores, and  highways. o Local government takes care of sectors like elementary education, the police  department, and the fire department o Federalism: 1. Federal government is responsible for those sectors because of national  standards, scale of economy, and visibility of special interests and values. 2. States are essentially democracy labs. 3. Local government provides services close to the citizens. o Federal Spending: 1. Mandatory (65% for formula­based programs) 2. Discretionary (29% for all other government programs) 3. Interest on debt (6%) o Entitlement Programs: 1. These are government programs created under legislation that defines  eligibility standards, but places no limit on total budget authority. 2. The federal government is committed to entitlement programs because of:  Mobility concerns   Resource constraints  “Race to the bottom” o Discretionary Spending: 1. Discretionary spending is determined by appropriations bills. 2. These bills are the only part of the governmental financial process that the  president can directly affect in any way. o State vs. Local Government: 1. Dillion’s Rule: local governments only have the powers that are expressly granted to them by the state in these ways: 1. Granted in express words in the Constitution 2. Necessarily implied or necessarily incident to expressly granted  powers 3. Absolutely essential to declared objectives and purposes of the  corporation. Not simply convenient, but indispensable. 2. Home Rule: there is a broad grant of power from the state giving  municipalities the authority to handle local matters with the need for  special legislation by the state specifically giving this authority so long as  there are no conflicts with state laws.     Lecture 3 o Direct Provision o Indirect Provision 1. Grants 2. Regulations 3. Tax expenditures 4. Contracts o Why Governments Use Direct Provisions  Consequences of public goods is that the market will not willingly supply  those goods.   Public goods are too important to be mishandled.  Citizen’s marginal willingness to pay decreases as individuals receive  more of the good. This model, however, does not work with public goods.  Free Riding Issue: you cannot define how much of a public good is  require to meet the public need. o Public Mechanisms Used to Provide Public Goods 1. Direct democracy 2. Referendum a) Legislative referendum b) Popular Referendum 3. Voter initiative 4. Majority voting o Vote­maximizing politicians represent the median voter. o Lobbying: 1. The expending of resources by certain individuals or groups in attempt to  influence politicians. 2. The benefit of lobbying is divided by the number of members; since  lobbying firms are smaller than groups of common people, lobbyists  receive more benefits and are more likely to lobby legislators. 3. Advantages of this political process: authoritative decisions concerning  social values. They decide when, how much, and the magnitude of these  values. 4. Disadvantages of this political process: who truly makes these decisions –  politicians, interest groups, or the people? o Indirect Provision: 1. Resort to private and non­profit providers as well as state and local  governments. 2. Develop partnerships, collaborations, and networks.  Lecture 4 o Grants: 1. Federal assistance or loans to individuals, like benefits, entitlement,  research grants, and PELL grants. o Intergovernmental Grants 1. Whether the use of the grant is intended for a specific or general service. 2. Whether the grant is automatically allocated by a formula or it requires an  application associated with a specific grant. 3. Whether the grant funds must be matched by recipient government funds. 4. Whether the potential size of the grant is limited. o Regulations 1. Regulations are rules administered by a government agency to influence  economic activity by determining prices; product standards and types; and  the conditions under which new firms can enter an industry. 2. The focus is on the market, efficiency, control, and the allocation of social  values. 3. Unintended externalities, however, often result from regulation. 4. The government must decide if the benefits, both economic and social, of  regulation outweigh the costs. 5. The government also aims to achieve social and political goals for the  public interest through regulation 6. Economic Theories of Regulation 1. Public Interest Theory 2. Capture Theory 7. Regulatory Rules: APA Procedure 1. Rulemaking: a process to establish regulations, established by the  Administrative Procedure Act in 1946. The process is: 1. Process: 2. Advance notice of proposed rulemaking. 3. Propose the rule. 4. Public comment. 5. Pass final rule, based on public comment and announced on the federal register. o Tax Expenditures 1. Revenue losses attributed to federal tax law provisions which allow  special exclusions, exemptions, or deductions from gross incomes. 2. Individual tax expenditures: consumption + net wealth change =  income.  1. Exclusion: types of income that are not taxed, such as tax­exempt  bond interest. 2. Exemption: per­person amounts of money that the government  cannot tax. 3. Deduction: personal expenditures that can be subtracted before tax  is calculated. 3. Non­refundable tax credits: these tax credits cannot reduce your tax  balance beyond $0. 4. Refundable tax credits: these tax credits can reduce your tax balance  beyond $0. 5. Corporate tax expenditures o Contracts 1. Contracts are the use of the private and market forces to provide a good or  service, the components of which include financing, operations, and  quality control. 2. Privatization is not an either/or question; rather, it is a question of how  much privatization. 3. Privatization Forms: 1. Sell or load­shedding 2. Contracting for goods and services 3. Vouchers 4. Quasi­government entities 5. Third­party financing 6. Grants 7. Volunteering     Lecture 5 o Why Should We Use Privatization? 1.   Asset specificity 2.   Service measurability 3.   Service marketplace 4. Goal congruence o Political Attractiveness of Privatization 1.   Disillusionment with government 2. Governance problems 3. National debt and lack of local revenues 4. Private entrepreneurs want to expand their terrain  Privatization is attractive to small government enthusiasts o Privatization Controversy  The core business of government (public goods, collective problems, and  social values) should not be privatized since private companies’ primary  goals are financial, not ethical.  Periphery business is more likely to be contracted out to private  companies.  Lecture 6 o International Trends  Many governments are now reversing their trains of thought and  contracting back in, aka the contingent approach. o United States’ Privatization Trends 1. Public employee 2. Privatization for­profit 3. Intermunicipal cooperation 4. Privatization for­profit  Government managers ensure public service delivery in numerous ways: 1. Internal Reform (direct public delivery) – stable 2. Mixed public and private delivery – changing 3. Contracting out and contracting back in (reversals) – changing o New Trend: Contracting Back In  Government must play a market structuring role to use markets.  Government is concerned about more than mere efficiency.  1. Government is concerned about equity and access to resources. 2. Service quality and sustainability 3. Community identity and development 4. Political interests and individual voices  Contracting peaked in 1997. o Why Contract Back In 1. Unsatisfactory service quality. 2. Insufficient cost savings 3. Local government efficiency improved. 4. Strong political support to bring services back under government control 5. Problems with contract specification     Lecture 7 o Government Civil Service System  An employment system used by democratic governments to curtail  political tampering with administration procedures  Employees are: 1. Attached to positions 2. Hired by merit 3. Protected from political interference and dismissal o Fundamental Elements of the Civil Service System  Positions are classified by the General Schedule (GS): the procedure that  governs most employees. There are 15 grades in this system.  GS Categories 1. Professional 2. Administrative 3. Technical  4. Clerical 5. Other 1. There are series within the categories o How to Classify a Position o Knowledge o Supervisory control o Guidelines o Complexity o Scope and effect of work o Personal contacts o Purposes and reasons for personal contacts o Physical demands of job o Nature of work environment, job hazards, and required safety precautions o Position Classification Problems o Written descriptions seldom match the genuine jobs. o The system creates strong incentives for grade creep o The federal workforce has changed over the last few decades, making it  hard for the GS system to remain current. o Staffing the Civil Service o Hire by merit through one of two ways: 1. Assembled examination (usually results in disparate impact theory 2. Unassembled examination o Rule of Three is outdated  Lecture 8 o Staffing Preferences o Disabled people o Veterans o Minorities o People eligible for promotions o Staffing Separation o It is hard to remove mediocre employees after the probationary period  because of due process laws (can only remove employees due to bad  performance). Can remove people in these ways though: 1. Reductions in force (RIFs) 2. Buyouts 3. Furlough 4. Temporary leave 5. Freeze o Compensation in Civil Service o Civil Service Principle: individuals should receive equal pay for jobs of  similar value. o Comparable and locality adjustments are made annually o In the public sector… 1. Professionals and managers are underpaid but have better  advancing prospects. 2. Technical and clerical employees are overpaid but have fewer  prospects. 3. Gender segregation in position and wages exists o Employee Rights and Obligations o Employees have the right to unionize and the right to collective  bargaining. o The union has gone through many membership fee changes 1. Initially, the union only charged union members. 2. In the 1980s, unions began charging all employees in the union’s  position. 3. Now, there are many options on the table. Some non­union  members propose only paying for the money that unions use for  collective bargaining, while other non­union members argue that  they shouldn’t pay anything, since the First Amendment allows  citizens the freedom of association (or disassociation, in this case).  Lecture 9 o Executive Service o The highest­ranked positions that people can apply for, outlined by U.S.  Code 5. o 5 levels, with top positions requiring presidential nomination and senate  confirmation. o Who Are Civil Service Leaders o The senior executive service (SES) ensure that executive management of  government is receptive to needs, policies, and goals of the nation. o Components of the Executive Branch o Cabinet departments (15 departments) 1. Inner cabinet: State, Defense, Treasury, and Justice. 2. Outer cabinet: all of the other cabinets. o They perform three functions: 1. They signal the importance of their functions. 2. They recognize important constituencies, like veterans and  educators. 3. They undergo influence tests, which reflect political and national  sentiments. These tests, therefore, are not always logical and  consistent. o Independent agencies 1. Regulatory commissions 2. Service­based 3. Government corps o Some characteristics of independent agencies: 1. They are bipartisan in membership. 2. They have overlapping terms that are longer than a presidency. 3. They remove commissioners only for a good cause. o The Office of Management and Budget reviews their budget proposals, the Justice Department deals with cases, and these agencies need political  support to work with Congress. o Bureaus o They are the principal operating organizations of the government. o Field Offices o Most government operations are performed in the field. o Leadership of the Executive Branch o The president must “faithfully execute the laws;” he does so through: 1. Executive orders; they help start new programs when Congress  refuses to do so. 2. Nominate and appoint people; the president is allowed to appoint  lots of people because of checks and balance in the other two  branches of government. 3. Has more power than state and local leaders. 4. Veto power: can overrule any bill, appropriation, or decision by  Congress. He does not have a line­item veto though, unlike most  state and local leaders. 5. Some legislative power: the president focuses this power on  government internal affairs, law enforcement, emergency  management, etc. o Problems in Managing the Executive Branch 1. Presidents are not chosen for their administrative qualifications. 2. Presidents are dissatisfied when they rely on cabinet members to ensure  administrative effectiveness because:  Cabinet members have short tenure with an average of 2 years.  They have limited power to assemble teams and reward political  support because secretaries, sub­secretaries, and deputy secretaries  are all nominated by the president and confirmed by the senate.  Bureaucratic resistance  Leadership is not stable nor efficient  Politicians have no organizational memory 3. Interdepartmental friction pints have multiplied because of an increase in  cross­cutting issues.  The government is more involved in economic and social  problems.  Domestic and foreign problems have multiplied their interactions.  Interdependent solutions are being more recognized. 4. Burden of top­level coordination falls on aides and staff agencies.  Lecture 10 o Executive Office of the President  3 advisory agencies: the council of economic advisers, the council on  environmental quality, and the national security council.  7 agencies in the White House 1. Executive Residence 2. Office of Management and Budget 3. Office of Management and Administration 4. Office of National Drug Control Policy 5. Office of Science and Technology 6. Office of the Vice­President 7. Office of U.S. Trade Representatives 8. White House Office o Office of Management and Budget  Its mission is to analyze proposals, make recommendations to the  president, and compile requests into a budget for Congress to review.  Roles: 1. Budget review 2. Legislation and regulation 3. Management review 4. Gather intelligence about executive branch operations o Office of Management and Budget Characteristics  Serve the president  Neutral competence: find the most efficient way to achieve a goal.  Mix of career bureaucrats and political appointees to promote the  president’s agenda.  Focused on budgeting and political orientation. o Organizational Values in Government o Neutral competence o Executive leadership o Representativeness


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