Bureaucratic Behavior Regulatory Participation

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Bureaucratic BehaviorRegulatory Participation
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Question??

• What are the advantages of having bureaucracies
  make regulatory policy?
• What are the disadvantages?

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Theory of Non-Market Failures

• Internalities
• Budget Growth
• Technological Advance
• Information Acquisition and Control
• Redundant Costs
• Derived Externalities
• Distributional Inequities

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Regulatory Process

• Contemporary Issues
• Volume of Rulemaking
• What happens if volume is too high?
• Quality of Rulemaking
• What makes for high quality?
• Timeliness (chart on pp. 104)
• Who is concerned most about timeliness?
• What affects timeliness?
• Participation
• Too much vs. too little

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Management of Rulemaking

• Presidential Management
• Government wide programs operated out of the WH
  to coordinate and control aspects of rulemaking
• Agency Level Management
• Structures/processes that evolve within an agency
• Individual Rule Management
• Techniques used to bring together the expertise
  necessary to complete a rulemaking.

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Management of Rulemaking

• Presidential Management
• Government wide programs operated out of the WH
  to coordinate and control aspects of rulemaking
• Agency Level Management
• Structures/processes that evolve within an agency
• Individual Rule Management
• Techniques used to bring together the expertise
  necessary to complete a rulemaking.

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Management of Rulemaking

• Presidential Management
• Government wide programs operated out of the WH
  to coordinate and control aspects of rulemaking
• Agency Level Management
• Structures/processes that evolve within an agency
• Individual Rule Management
• Techniques used to bring together the expertise
  necessary to complete a rulemaking.

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Rulemaking Process (Stages)

• Stage 1 Origin of Rulemaking Activity -- the
  writing and passing of the law in Congress.
• Stage 2 Origin of Individual Rulemaking -- how
  the rule is started and why.
• Stage 3 Authorization to Proceed with Rulemaking
  -- priority setting
• Stage 4 Planning the Rulemaking -- agency must
  confront certain questions concerning the rule

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Rulemaking Stages (cont)

• Stage 5 Developing the Draft Rule
• Stage 6 Internal Review of the Draft Rule
• Stage 7 External Review of the Draft Rule
• Stage 8 Revision and Publication of Draft Rule
• Stage 9 Public Participation
• Stage 10 Action on Draft Rule -- collecting
  comments
• Stage 11 Post-Rulemaking Activities --
  revisions, lawsuits, etc.

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Responses to Rulemaking Complexity

• Workgroup format
• Increased executive involvement
• Expanded role of policy analysis as a guide in
  decision making
• Increase in administrative law
• More external communication
• More complex process w/multiple actors

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Participation in the Process

• Purposes of Participation (Kerwin)
• Legitimacy to a process that could be interpreted
  as undemocratic
• Rationality to enhance the authority of the rule.
• Provides the agencies with some idea of the
  reaction of the public to the rule.

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Assessments of Rulemaking Procedures

• According to West, three assessments of
  rulemaking procedures
• Provide meaningful opportunities for
  participation
• Promote responsiveness by strengthening oversight
• Symbolic effect rules are done deal before
  public comments

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Does Participation Matter?

• Kerwin and Kerwin/Furlong
• From the perspective of interest groups
• Golden
• To some extent more so if comments agree w/
  agency position
• Yackee- Sweet talkingBureaucracy
• changes policy to better match the level of
  government regulation suggested by interest group
  commenters,
• incorporates specific policy recommendations of
  IGs into final rules
• responds when there is high level of agreement in
  the central messages sent within the interest
  group comments
• makes noteworthy changes to rules during the
  notice comment period

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Mechanisms to Increase Participation

• Freedom of Information Act
• Privacy Act
• Government in the Sunshine Act
• Federal Advisory Committee Act
• Other procedures placed within substantive
  statutes

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Regulatory Negotiation

• Reg neg offers the public a direct and
  substantial role in rulemaking. Regulations can
  be developed through negotiations w/ interested
  parties.
• Process reform -- uses collective bargaining
  techniques. Why bother with adversarial when all
  parties can sit down and negotiate a rule

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Reg-Neg (cont)

• Assumptions to participation
• Awareness rule is being developed, understand
  how the rule affects an interest, knowledge of
  the opportunities available for participation,
  resources and expertise, ability to mobilize if
  necessary.

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Reg-Neg (cont)

• When it works
• eliminates "arms race" for information
• rule has more legitimacy on its face with the
  affected parties
• may induce compliance more readily and better
• gets opposing interest to understand each other's
  positions
• access to agency decisionmakers
• comments made within the negotiation must be
  actively considered

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Reg-Neg (cont)

• Limits can't negotiate fundamental values,
  difficult to identify those people who should be
  involved.