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Adaptive Signal Processing, Hierarchy, and Budgetary Control in Federal Regulation

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  • Carpenter, Daniel P.

Abstract

Control over agency budgets is a critical tool of political influence in regulatory decision making, yet the causal mechanism of budgetary control is unclear. Do budgetary manipulations influence agencies by imposing resource constraints or by transmitting powerful signals to the agency? I advance and test a stochastic process model of adaptive signal processing by a hierarchical agency to address this question. The principal findings of the paper are two. First, presidents and congressional committees achieve budgetary control over agencies not by manipulating aggregate resource constraints but by transmitting powerful signals through budget shifts. Second, bureaucratic hierarchy increases the agency's response time in processing budgetary signals, limiting the efficacy of the budget as a device of political control. I also show that the magnitude of agency response to budgetary signals increased for executive-branch agencies after 1970 due to executive oversight reforms. I conclude by discussing the limits of budgetary manipulations as a device of political control and the response of elected authorities to adaptive signal processing by agencies.

Suggested Citation

  • Carpenter, Daniel P., 1996. "Adaptive Signal Processing, Hierarchy, and Budgetary Control in Federal Regulation," American Political Science Review, Cambridge University Press, vol. 90(2), pages 283-302, June.
    • Handle: RePEc:cup:apsrev:v:90:y:1996:i:02:p:283-302_20
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    Cited by:

    1. Kwang-Ho Sim, 2000. "Interests and Political Institutions in U.S. Long-Distance Telecommunications Policy," International Review of Public Administration, Taylor & Francis Journals, vol. 5(1), pages 107-123, June.
    2. Jordan Carr Peterson, 2018. "All Their Eggs in One Basket? Ideological Congruence in Congress and the Bicameral Origins of Concentrated Delegation to the Bureaucracy," Laws, MDPI, vol. 7(2), pages 1-15, May.
    3. Andrew B. Whitford, 2002. "Decentralization and Political Control of the Bureaucracy," Journal of Theoretical Politics, , vol. 14(2), pages 167-193, April.
    4. Jodi L. Short & Michael W. Toffel & Andrea Read Hugill, 2013. "Monitoring Global Supply Chains," Harvard Business School Working Papers 14-032, Harvard Business School, revised Jun 2015.
    5. Tracey Bark, 2021. "Information provision as agenda setting: A study of bureaucracy's role in higher education policy," Regulation & Governance, John Wiley & Sons, vol. 15(2), pages 408-427, April.
    6. Dionne Pohler & Chris Riddell, 2019. "Multinationals’ Compliance with Employment Law: An Empirical Assessment Using Administrative Data from Ontario, 2004 to 2015," ILR Review, Cornell University, ILR School, vol. 72(3), pages 606-635, May.
    7. Abdalla Geth Abdussalam, 2017. "Exploring the Relationship between Working Capital Management, Profitability and Capital Structure," GATR Journals afr126, Global Academy of Training and Research (GATR) Enterprise.
    8. Timo Goeschl & Johannes Jarke, 2013. "The warnings puzzle: an upstream explanation," Journal of Regulatory Economics, Springer, vol. 44(3), pages 339-360, December.
    9. Iain Hampsher‐Monk & Andrew Hindmoor, 2010. "Rational Choice and Interpretive Evidence: Caught between a Rock and a Hard Place?," Political Studies, Political Studies Association, vol. 58(1), pages 47-65, February.
    10. Matthew Eshbaugh‐Soha, 2008. "The Impact of Presidential Speeches on the Bureaucracy," Social Science Quarterly, Southwestern Social Science Association, vol. 89(1), pages 116-132, March.
    11. Doo-Rae Kim, 2007. "Federal Institutions, State Agency Bias, and Unequal Bureaucratic Responsiveness in the U.S. OSHA Enforcement," International Review of Public Administration, Taylor & Francis Journals, vol. 12(2), pages 21-32, January.
    12. Matthew E.K. Hall, 2017. "Macro Implementation: Testing the Causal Paths from U.S. Macro Policy to Federal Incarceration," American Journal of Political Science, John Wiley & Sons, vol. 61(2), pages 438-455, April.
    13. Moser, Peter, 1999. "The impact of legislative institutions on public policy: a survey," European Journal of Political Economy, Elsevier, vol. 15(1), pages 1-33, March.
    14. Jodi L. Short, 2021. "The politics of regulatory enforcement and compliance: Theorizing and operationalizing political influences," Regulation & Governance, John Wiley & Sons, vol. 15(3), pages 653-685, July.
    15. Olson, Mary K, 1999. "Agency Rulemaking, Political Influences, Regulation, and Industry Compliance," The Journal of Law, Economics, and Organization, Oxford University Press, vol. 15(3), pages 573-601, October.
    16. Jonathan Lewallen, 2021. "Emerging technologies and problem definition uncertainty: The case of cybersecurity," Regulation & Governance, John Wiley & Sons, vol. 15(4), pages 1035-1052, October.

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