Chapter 13- The Federal Bureaucracy

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Chapter 13- The Federal Bureaucracy

• (1). Define what a bureaucracy is, and summarize
  its key characteristics and its nature.
• (2). Examine the structure, organization, roles
  and tasks of the Federal Bureaucracy.
• (3). Examine the Presidents Cabinet and discuss
  their key departmental responsibilities.
• (4). Contrast the diverse functions of the
  Executive Departments, Independent
• Regulatory Commissions, Government Corporations,
  and Independent Agencies.
• (5). Contrast the key tasks of rule
  administration, rule making, and rule
  adjudication.
• (6). Examine the development growth of the
  Bureaucracys power and responsibilities.
• (7). Outline how the Federal Personnel System has
  evolved and changed, and discuss the
• spoils system, patronage and the Civil Service
  System and its attempted reforms.
• (8). Examine the Federal Bureaucracy's political
  character, goals, and resources.
• (9). Outline the ways that Congress, the
  President, Interest Groups, and other agencies
• place constraints on the Federal Bureaucracy.
• (10). Explain the "iron triangle" theory and
  contrast it with the rise of issue networks.
• (11). Assess the recent efforts to reform or
  "reinvent" the Federal Bureaucracy.

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Hierarchy
What is a Bureaucracy?
Gov. agencies that implement Government policies
Professionalization
Webers Five Characteristics of Bureaucracy
Formality
Record-keeping
Specialization
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Structure Tasks of Federal Bureaucracy(The
Executive Branch)
Executive Departments (The Cabinet)
Homeland Security
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Types of Federal Agencies

• Executive Departments
• Cabinet appointed by the president
• Confirmed by Senate with its advice consent
• Independent Regulatory Commissions
• Small commissions w/greater independence
• Fix terms can only be fired for cause
• Government Corporations
• Government companies that serve Public for fee
• Suppose to be self supporting (example?)
• Finance, energy, insurance
• Independent Agencies
• Not part of Executive Department w/sub-cabinet
  rank
• NASA, EPA, (Exception CIA)
• All heads serve at Pleasure of President

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Executive Departments
What kind of Departments or Agencies are these?
Defense
Treasury
Justice
State
Agriculture
Labor
Commerce
Interior
Health Human Svs
Energy
Housing Urban Dev.
Transportation
Homeland Security
Veterans Affairs
Education
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Independent Agencies
What kind of Federal Agencies are these?
EPA
FEMA
GSA
CIA
NASA
Peace Corps
SBA
National Archives Records
Exception Cabinet Rank (Since Clinton
Administration)
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Independent Regulatory Commissions
What kind of Federal Agencies are these?
FCC
Federal Reserve
EEOC
OSHA
SEC
Nuclear Regulatory Commission
Federal Trade Commission
FEC
Consumer Product Safety
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Government Corporations
What kind of Federal Agencies are these?
Export- Import Bank
AMTRAK
Postal Service
FDIC
Inter- America Foundation
TVA
Corp. for National Community Service
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Federal Departments Agencies (summary)
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The Tasks of the Federal Bureaucracy

• Bureaucracies Perform Three Functions
• 1. Rule Administration
• Administer the rules of public policy
• Core bureaucratic function
• 2. Rule Making
• Put general principles into Federal Regulations
• Develop new rules as required
• 3. Rule Adjudication
• Determine if when the rules have been followed
  or broken

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Federal Government Rule Making (1940-2004)
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Development of Federal BureaucracyConstitutional
Foundations

• Role of Congress the President
• Shared powers to devise operate Bureaucracy
• Presidents power to appoint ensure laws
  executed
• Federal Bureaucracy gt Constitutional hybrid
• Created by Congress
• Directed by the President
• Accountable to both
• Has the Federal Bureaucracy grown over the years?
• Answer Yes and No

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Civilian Federal Employees 1820-2003
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Federal Government Growth (1820-2003)Per Capita
Spending vs. People Employed
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Growth of the Federal Bureaucracy

• Chart (Figure 13-4) illustrated (from 1890)
• Steady Federal growth to 1945 highpoint (3.8M)
• Steep growth began between 1931gt 1945 (why?)
• Per capita growth spending (Figure 13-5)shows
• As US population grew (now at about 300 Million)
  gt
• Federal spending per person grew significantly,
  while
• Federal Bureaucrats employed declined
• Bottom Line
• Federal Bureaucracy now spending doing more per
  person (per capita) w/less federal employees to
  do it

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Expanding Functions of the Federal Bureaucracy

• Four major categories of Federal functions
• National Maintenance
• Clientele Services
• Regulation of Private Sector
• Income Redistribution

Lets look at these major Federal functions in
greater detail.
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National Maintenance

• Early Federal Government Functions
  Responsibilities primarily limited to
• Collect tax revenue
• Defend the Nation
• Conduct foreign relations
• Enforce Federal laws
• Promote internal communications
• Which Government Departments Agencies
  administered these functions?

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Early Federal Departments Government
Responsibilities
State Department
Treasury Department
War Department
Attorney General
Post Office
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Clientele Services (mid-19th century)

• Serve special needs of influential Interest
  Groups
• Agencies created to serve clients special
  interest

Department of Agriculture
Bureau of Labor
Bureau of Labor gt later Dept of Commerce and
Labor
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Client Service Needs of 20th Century

• 1930sgt Great Depressiongt FDRs New Deal
• Federal Activism and Bureaucracy expands

Department of Health, Education, and Welfare
1960sgt War on Povertygt LBJs Great Society
Department of Housing and Urban Development
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More Government Bureaucracy Created during the
20th Century

• All formed to address other clients needs

Department of Energy
Department of Transportation
Department of Education
Department of Veterans Affairs
Latest edition to Federal Bureaucracy?
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Department of Homeland Security
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Regulation of Private SectorExpanding Federal
Responsibilities More

• Responsibility or regulating American economy
• Federal Agencies established
• ICC, Federal Reserve, Federal Trade Commission
• 1960sgt Regulate Society (Social Regulation)
• Examples EPA, OSHA
• Social Regulation entails what kind of Federal
  function?

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Income Redistribution

• Agencies formed to re-distribute economic
  benefits
• Shift either directly or indirectly
• Direct payments made to poor individuals
• Social Security (elderly) AFDC (minors)
• Some programs even transfer to wealthy
• Dept of Agriculture programs (wealthy farmers)
• Social Security payments to wealthy retirees
• Not always a one way street (i.e. from rich to
  poor)

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Federal Bureaucracys Personnel SystemA History
of Change
Government by Gentleman
Political appointees were generally recruited
from the educated elite class.
(A Calling or Duty in service to the Nation)
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Changes in Fed Bureaucracys Personnel System (2)
The Spoils System
Appointees of the President replace the previous
Presidents appointees.
Government jobs spoils of war
Spoils System first associated with whose
Administration?
Spoils System is also known as?
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Patronage
The practice of rewarding partisan supporters
with government jobs. (AKA spoils system)
Strong support for Patronage or Spoils System
lasted until late 1800s when what happened?
Congressional reaction?
Pendleton Act of 1883 (from 10 - 80) gt
Signaled beginning of what system based on what?
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Civil Service Merit

• Competence for job stressed
• Political affiliation political loyalty not a
  requirement for getting hired
• What you know is more important than who you
  know

Civil Servants ranked and paid IAW General
Schedule Classification System or GS rankings
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Civil Service Reform Act of 1978

• President Carter initiated major reforms
• Reorganized agencies that oversee civil service
  in order to eliminate previous conflicts of
  interests
• Office of Personnel Management
• Merit System Protection Board
• Also created the Senior Executive Service (SES)
• Allows high level civil servants to move into
  other vacant policy making positions.
• Remains a work in progress (Homeland Security)

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Politics of the Federal Bureaucracy Theory versus
Reality

• Theory political neutrality competence
• (Based on 19th century social theory of Max
  Weber)
• Bureaucracy mechanically implement laws
  policies
• Always act in Publics best interest
• Above theory is the traditional (mythological)
  view of how the Government Bureaucracy works as
  illustrated in the following model

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Traditional View of Government Bureaucracy
President
Congress
Formulate Policy
Role of Bureaucracy?
Bureaucracy
Implements the Policy
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Political Character of the Federal Bureaucracy-
The Reality

• Reality Inherently political institutions
• Translate principles goalsgt concrete programs
• Take board policies laws gt detailed
  regulations
• Range of Discretion gt and conflicting guidance
• President vs. Congress intentions often compete
• Result Bureaucracy serves two masters
• Can Play one off the other (depending on own
  agenda)
• Exercises discretion gt freedom to shape own
  rules
• Usually made consistent with their own best
  interests
• With Belief whats good for them is good for the
  USA

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Goals of the Federal Bureaucracy
Two Goals
Mission Goals
Survival Goals
The policy objectives that justify the creation
and existence of an agency
The desire bureaucrats have to see the agency
they work for grow and prosper
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Potential Threats to those Goals

• Potential threatsgt
• Conflict competition with other political
  actors
• Congress The President (EOP)
• Other Federal Agencies Interests Groups
• State local governments
• Lifeblood of bureaucracy?
• Power ( A zero/sum game in Washington arena)
• Constant competition for power, influence,
  growth
• What are the Political Resources available to the
  Federal Bureaucracy to counter these threats?

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Administrative Discretion
Political power through rule making procedures.
The use of rules to reflect an agencys view of
the public good.
Power how to shape administer policy (EPAgt
strict or lax enforcement of regulations)
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Clientele Support
Clientele are the recipients of the services a
government agency's programs provide.
The power an agency exercises depends heavily on
the power of its clientele.
Example DOD versus DOSgt whos most likely to
win? Domestic vs. foreign clients the captive
agency
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Agencies gain power from the expertise their
employees develop.
Agency Expertise
Expertise is specialized knowledge acquired
through work experience or training and
education.

• Critical factors affecting value of expertise
• Extent that agency is only one with the
  expertise
• Size of the knowledge gap with other experts
• Example NASA versus DOS foreign policy

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AssessmentEffect of differences in Agency Power

• Mission survival goals affected by all three
• Strong clients, great expertise, more knowledge
• More say therefore more power
• Expanded mission bigger budget ()
• More likely to survive at other agencies expense
• All affect status pecking order in Washington
• DOD more powerful than DOS
• Both more powerful than DOT DOE
• And so on down the Cabinet pecking order

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Political Constraints On Federal Bureaucracy
Congress
Other Agencies
The Courts
The President
Interest Groups
Examine in greater detail
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Political Constraints on the Federal Bureaucracy
The Congress

• Congressgt Article I enumerated powers
• Create gt implies modify or abolish
• Determine Bureaucracys structure
  responsibility
• Appropriate funds to accomplish responsibilities
• Congress implied powers
• Oversight (GAO CRS)
• Committee Sub-committees role
• Budget authorization appropriation for programs
• Interest Group's influence on Congress
• Can be significantgt motivating Congress to act

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Political Constraints on the Federal Bureaucracy
The President

• President gt IAW interpretation of Article II
• In addition to Enumerated also has implied powers
  
• Key examples
• See that all laws are faithfully executed
• Appointment powersgt influence who heads agency
• Shape how policies are implemented
• Can offer Budget proposals legislation to
  Congress
• Power of the veto threat
• Power to reorganize structure reassign
  functions
• OMBgt clear all new agency regulations

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Political Constraints on the Federal Bureaucracy
Interest Groups, The Courts Other Agencies

• Interest Groupsgt options available for relief
• Turn to President (EOP), Congress, or The Courts
• Other Agenciesgt overlapping responsibilities
• On-going competition for power influence
• FBI vs. CIA vs. DOS vs. DOD
• Impact check balance power of the other
• The Courtsgt can place legal constraints
• Politically immune during deliberations
• Determine if rules exceed authority or not lawful

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Alliances and the Federal Bureaucracy

• Iron Triangles (Figure 13-6)
• Effective when interest impact are very narrow
• Downside narrow interests that benefit the few
• Taxpayers (Public) pay for these special benefits
• Highly undemocratic gt last minute riders on
  Bills
• Issue Networks gt (offset above influences)
• Create range of competing positions on an issue
• Tends to offset narrow interests of iron
  triangles
• Agency Congress respond to all potential voters
• Result dampens special interests influence

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Iron Triangles
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Reinventing the Federal Bureaucracy

• Americans negative perception of federal
  government
• Wasteful inefficient (Red Tape)
• Politicians efforts to change government red tape
• Clinton Gore (National Performance Review)
• Previous commissions created in past to do same
  thing
• Grace Commissions (Reagan Administration) gt
  result?
• Recent post 9/11 trend organizational changes
• Homeland Security established (Effectiveness?
  control of FEMA?)
• Usual result? (mixed at best) gt why?
• Conflicting demands objectives for all
  affected
• Agencys survival goals bureaucratic self
  interest
• Interest Group (Public clients) demands (often
  in conflict)

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Next Assignment

• Text- Chapter 14 The Courts
• Review Article III of Constitution
• Continue to prepare for Test II Key Terms
• Review Key Terms in context of Chapters 11-14
  Learning Objectives
• Note possible Quiz next Wednesday on Key Terms
• Test II administered a week from next Monday
• Bring SCANTRON 50/50 2 pencil

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Chapter 13 Key Terms

• Advice and consent Refers to the provision in
  Article II of the Constitution that requires the
  president to gain the Senates approval of
  appointees to a variety of government positions.
• Bureaucracy In general usage, the set of
  government agencies that carries out government
  policies. The bureaucracy is characterized by
  formalized structures, specialized duties, a
  hierarchical system of authority, routine record
  keeping, and a permanent staff.
• Bureaucrats A term used generally to identify
  anyone who works within a large, formal
  organization. More specifically, it refers to
  career civil service employees of the government.
• Cabinet An informal designation that refers to
  the collective body of individuals appointed by
  the president to head the executive departments.
  The cabinet can, but rarely does, function as an
  advisory body to the president.
• Civil service The method by which most
  government employees have been hired, promoted,
  and fired since the 1880s. Personnel decisions
  are based on merit, or the competence of the
  individual to do the job, rather than the
  individuals political loyalties.
• Clientele The recipients of the services a
  government agencys programs provide.
• Expertise Specialized knowledge acquired through
  work experience or training and education.

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Chapter 13 Key Terms (2)

• Iron triangles The alliance of a government
  agency, congressional committee or subcommittee,
  and political interest group for the purpose of
  directing government policy within the agencys
  jurisdiction to the mutual benefit of the three
  partners.
• Issue networks A loose collection of groups or
  people in and out of government who interact on a
  policy issue on the basis of their interest and
  knowledge rather than just on the basis of
  economic interests.
• Patronage The practice of rewarding partisan
  supporters with government jobs. Also known as
  the spoils system.
• Rule adjudication Determining whether an
  agencys rules have been violated.
• Rule administration The core function of the
  bureaucracyto carry out the decisions of
  Congress, the president, or the courts.
• Rule making Formulating the rules for carrying
  out the programs a bureaucratic agency
  administers.
• Spoils system The method used to hire and fire
  government employees during most of the 1800s.
  Government employees of the new presidents
  choosing would replace those a previous president
  had appointed. Government jobs were the spoils
  (or rewards) of the electoral wars. This system
  was also known as patronage.