Chapter 13: The Bureaucracy

  1. Bureaucracy in modern governments
  2. Large, complex organization of appointed officials
  3. Max Weber’s bureaucracy
  4. Bureaucracy as a well-organized, complex machine that is a “rational” way for a modern society to organize its business
  5. Basic characteristics
  6. Hierarchical authority structure – chain-of-command in which the top bureaucrat has ultimate control and authority flows from the top down
  7. Task specialization – clear division of labor in which every individual has a specialized job
  8. Extensive rules – clearly written, well-established formal rules that all people in organization follow
  9. Clear goals – clearly defined set of goals that all people in the organization strive toward
  10. Merit principle – hiring and promotion of the best qualified
  11. Impersonality – job performance judged on productivity or how much work the individual gets done
  12. American federal bureaucracy
  13. Divided supervision between President & Congress
  14. Congress has the power to create, organize and disband all federal agencies
  15. Most agencies under the control of the president
  16. Encourages bureaucrats to play one branch of government against the other
  17. Many agencies have counterparts at state and local level too
  18. Based on separation of powers & federalism
  19. Close public scrutiny
  20. More scrutiny than in other countries
  21. Makes court challenges to agency actions more likely (because emphasis on individual rights and their defense against abuse by government)
  22. Regulation rather than public ownership
  23. Agencies regulate privately-owned businesses and companies
  24. In other countries agencies operate publically owned ones
  25. The growth of the bureaucracy
  26. The early years
  27. Constitution said nothing about creating an administrative system other than to allow the president to appoint ambassadors, other public ministers…and all other officers of the United States whose appointments are not herein otherwise provided for and which shall be established by law
  28. Department of State created during Washington’s presidency to help T. Jefferson exercise his duties as Secretary of State
  29. President given sole right of removal (argument made for Senate consent to removal of officials is challenged by supporters of a strong president )
  30. But Congress funds and investigates bureaucracy
  31. Patronage
  32. Officials affect how laws are interpreted, the tone of the administration, and the effectiveness of the president so important who got appointed
  33. Patronage used in the nineteenth and early twentieth centuries to reward supporters
  34. Andrew Jackson & the Spoils System
  35. Believed it insured effectiveness & responsiveness from those who owed jobs to the president
  36. Greater participation by middle & lower classes
  37. Created a full turnover in the federal service with each new president
  38. Increase in federal employees as a result of increased demands on its traditional functions
  39. Civil War a watershed in bureaucratic growth – new officials & new offices; showed the weakness of federal government
  40. Regulation to service (1861-1901)
  41. Creation of new agencies to deal with particular sectors of society & the economy
  42. Reflects the desire for limited government, laissez-faire beliefs in promoting the economy instead of regulating it, and the Constitution's silence
  43. A change to government activism
  44. Created by the depression and World War II
  45. Also change in public attitudes and in constitutional interpretation
  46. Introduction of heavy income taxes supports the large bureaucracy
  47. The federal bureaucracy today
  48. Direct and indirect growth
  49. Modest increase in the number of government employees (about the same as in 1960)
  50. Indirect increase through the use of private contractors
  51. Duties of bureaucrats
  52. Follow orders
  53. Create the “nuts & bolts” of executing policy made by Congress, the president and the Supreme Court
  54. Implement through procedures & rules
  55. Manage routines of government
  56. Regulation of private sector activities
  57. Develop guidelines with input from interest groups
  58. Apply & enforce them
  59. More discretionary authority means more power for the bureaucracy & bureaucrats
  60. Ability to choose courses of action and to make policies that are not spelled out in advance by laws (i.e. the delegation of undefined authority by Congress)
  61. Primary areas of delegation
  62. Paying subsidies to groups including farmers, veterans, scientists, schools, etc)
  63. Transferring money from federal government to state and local governments through grant-in-aid programs
  64. Devising and enforcing of regulations
  65. Some areas are closely monitored; others not so closely
  66. Factors explaining behavior of officials
  67. Hiring & firing
  68. Competitive service: most bureaucrats compete for jobs through OPM
  69. Appointment by merit based on a written exam
  70. Decreased to less than 54 percent of federal government work force
  71. Excepted service: most are appointed by other agencies on the basis of qualifications approved by OPM
  72. Fastest growing sector of federal government employment
  73. Examples: Postal Service employees and FBI agents
  74. But president can also appoint employees: presidential appointments, Schedule C jobs, and NEA jobs
  75. Pendleton Act (1883) transferred basis of government jobs from patronage to merit
  76. Created Office of Personnel Management (OPM)
  77. Administers civil service laws, rules & regulations
  78. Administer the written exams
  79. Merit system protects president from pressure and protects patronage appointees from new presidents ("blanketing in")
  80. Name-request job is filled by a person whom an agency has already identified for middle- and upper-level jobs
  81. Job description may be tailored for person
  82. Circumvents usual search process
  83. But also encourages "issue networks" based on shared policy views
  84. Firing a bureaucrat
  85. Most bureaucrats cannot be fired
  86. Exception: Senior Executive Service (SES)
  87. Created so president had more flexibility in hiring & firing top policy-making positions
  88. SES managers receive cash bonuses for good performance
  89. But very few SES members have been fired or even transferred
  90. An agency point of view
  91. Agencies are dominated by lifetime bureaucrats who have worked for no other agency
  92. System assures continuity and expertise
  93. But also gives subordinates power over new bosses: can work behind boss's back through sabotage, delaying, and so on
  94. Personal attributes
  95. Pretty representative of population
  96. Higher civil servants are elitists
  97. Political appointees and career bureaucrats think about government and politics differently than public at large
  98. Correlation between type of agency and attitudes of employees: activist agencies have more liberal employees while traditional agencies have more conservative employees
  99. Do bureaucrats sabotage their political bosses?
  100. Possibly but loyalty to bosses runs strong especially if treated cooperatively & constructively --despite the power of bureaucrats to obstruct or complain
  101. Whistleblower Protection Act (1989) created Office of Special Counsel
  102. Investigates allegations that bureaucrats punished or fired for reporting waste, fraud or abuse
  103. "Cooperation is the nature of a bureaucrat's job"
  104. Most civil servants have highly structured roles make them relatively immune to the influence of personal attitudes
  105. Culture and careers
  106. Each agency has its own culture or informal understandings as how they are supposed to act
  107. Jobs with an agency can be career enhancing if you have a job that emphasizes that agency’s culture (or not)
  108. Strong agency culture motivates employees but makes agencies resistant to change

  1. Constraints
  2. Biggest difference between a government agency and a business deals with hiring, firing, pay, procedures, and so forth
  3. General constraints
  4. Administrative Procedure Act (1946) requires agencies to hold hearings or give notice before adopting new rule or procedure
  5. Freedom of Information Act (1966) allows citizens to inspect all government records with some exceptions
  6. National Environmental Policy Act (1969) requires an agency to issue an environmental impact statement before doing anything affecting the environment
  7. Privacy Act (1974) certain government files must be kept confidential
  8. Open Meeting Law (1976) agency meeting must be open to the public with some exceptions
  9. Duplication -- assignment of single jobs to several agencies
  10. Effects of constraints
  11. Government moves slowly
  12. Government acts inconsistently
  13. Easier to block than to take action
  14. Reluctant decision making by lower-ranking employees
  15. Red tape
  16. Why so many constraints?
  17. Constraints come from us as we require certain things form our government
  18. Agency's response to our demands for openness, honesty, fairness, and so on
  19. Agency allies
  20. Iron triangles
  21. Agencies often seek alliances with congressional committees and interest groups
  22. Interest groups
  23. Provide information to agency & committees
  24. Pressure agency to interpret policy in their favor
  25. Provide campaign contributions to committee members
  26. Committees
  27. Pass legislation favoring interest group
  28. Approve bigger budget for agency
  29. Agency
  30. Gives information to committee
  31. Helps with constituent complaints
  32. Develops rules and regulations favorable to interest group
  33. Far less common today because politics has become too complicated
  34. More interest groups, more congressional subcommittees, and easier access for individuals
  35. Far more competing forces than ever given access by courts
  36. Issue networks
  37. Groups (think tanks, media, interest groups, etc.) that regularly debate government policy on certain issues
  38. Contentious and partisan ; often split on political, ideological & economic lines
  39. New president often recruits from networks to get those most sympathetic to his views

  1. Bureaucratic organization
  2. Executive Office of the President
  3. Organization of offices staffed by most of the president’s closest advisers
  4. White House Office
  5. Chief of staff
  6. Press secretary
  7. Legal counsel
  8. President’s physician
  9. Diplomatic, military, speech writers, PR, etc. (400-500)
  10. Domestic Policy Council
  11. Homeland Security Council
  12. National Economic Council
  13. Office of faith-based & Community Initiatives
  14. Office of the First Lady
  15. Office of national AIDS Policy
  16. Privacy & Civil Liberties Oversight Board
  17. USA Freedom Corps
  18. White House Fellows Office
  19. White House Military Office
  20. National Security Council
  21. Advises the president on all domestic, foreign & military matters that affect national security
  22. President, VP, Secretary of State, Secretary of Defense, legal counsel, Chairmen of the Joint Chiefs, Chief of staff
  23. Council of Economic Advisers
  24. Council on Environmental Quality
  25. Office of Administration
  26. Office of Management and Public
  27. Office of National Drug Control Policy
  28. Office of Science & Technology
  29. President’s Foreign Intelligence Advisory Board
  30. United States Trade Representative
  31. Cabinet Departments
  32. Informal advisory group that helps the president in making decisions and setting government policy
  33. Made up of 15 executive departments each headed by a secretary
  34. Secretaries are appointed by the president and approved by the Senate
  35. Each manages a specific policy area
  36. Departments
  37. Department of State (Condoleezza Rice)
  38. Advises the president on foreign policy
  39. Represents the U.S. abroad and in international organizations
  40. Run embassies in foreign countries
  41. Department of Treasury (Henry Paulson)
  42. Produces coins & currency
  43. Borrows money & manages federal debt
  44. Collects taxes
  45. Department of Defense(Robert Gates) – provides for the national defense & runs the military
  46. Department of Justice
  47. Headed by Attorney General (Michael Mukasey)
  48. Enforces federal laws
  49. Operates federal prisons
  50. Department of the Interior (Dirk Kempthorne)
  51. Manages public lands & national parks
  52. Helps Indian tribes manage their affairs
  53. Department of Agriculture (Ed Schafer)
  54. Assists farmers & ranchers
  55. Inspects food
  56. Department of Commerce (Carlos Gutierrez)
  57. Conducts the census
  58. Grants patents & copyrights
  59. Department of Labor (Elaine Chao)
  60. Enforces federal laws on minimum wages, maximum hours & safe working conditions
  61. Administers unemployment insurance & workers’ compensation
  62. Department of Health & Human Services (HHS) Michael Leavitt
  63. Administers Medicare & Medicaid programs
  64. Enforces pure food & drug laws
  65. Conducts programs to prevent & control disease
  66. Department of Housing and Urban Development (HUD) Alphonso Jackson
  67. Enforces fair housing laws
  68. Operates home-financing & public housing programs
  69. Department of Transportation -- promotes & regulates railroads, air travel, waterways, oil/gas pipelines
  70. Department of Energy (Samuel Bodman)
  71. Production of renewable energy, fossil fuels & nuclear energy
  72. Conducts nuclear research & production
  73. Department of Education (Margaret Spellings)
  74. Administers federal aid to schools
  75. Conducts educational research
  76. Department of Veterans Affairs (James Peake)
  77. Oversees military cemeteries
  78. Administers benefits, pensions & medical programs for veterans
  79. Department of Homeland Security (Michael Chertoff)
  80. Prevent attacks on U.S. soil
  81. Reduce America’s vulnerability to terrorism
  82. Minimize damage from potential attacks & natural disasters
  83. HHS spends the most money but Defense has more employees
  84. Cabinet rank also to EPA Administrator, OMB Director, National Drug Control Policy Director & U.S. Trade Representative under G.W. Bush
  85. 2004 Intelligence Reform and Terrorism Prevention Act
  86. Created a position for Director of National Intelligence
  87. Puts 15 intelligence agencies under the control of the director including CIA and FBI
  88. Created a National Counterterrorism Center to serve as the primary organization that processes all terrorism-related intelligence

  1. Independent Regulatory Agencies
  2. Make rules for large industries and businesses that affect the interests of the public
  3. “Watchdogs” so operate independently – not part of a department and most not directly controlled by president
  4. Commissioners appointed by president and confirmed by Senate
  5. Cannot be removed by president during their terms of office
  6. Examples
  7. Interstate Commerce Commission (ICC) – regulates railroads & trucking
  8. Federal Trade Commission (FTC) – regulates business practices & controls monopolies
  9. National labor Relations Board (NRLB) – regulates labor-management relations
  10. Federal Reserve Board (FRB) – governs banks and regulates the supply of money
  11. Securities & Exchange Commission (SEC) – polices the stock market
  12. Government Corporations
  13. Blend of private corporation and government agency
  14. Have more control over their budgets and often have right to decide how to use their own earnings
  15. Examples
  16. Corporation for Public Broadcasting – operates public radio & TV stations
  17. Tennessee Valley Authority – harnesses the power of TN River to protect farmland and provide cheap electricity
  18. U.S. Postal Service
  19. Amtrak – provides railroad passenger service that is heavily subsidized by federal government
  20. Independent Executive Agencies
  21. Narrower areas of responsibility
  22. Don’t regulate but fulfill a myriad of other administrative responsibilities
  23. Examples
  24. General Services Administration (GSA) – operates and maintains federal properties, handling buildings, supplies and purchasing
  25. National Science Foundation (NSF) – supports scientific research
  26. National Aeronautics and Space Administration (NASA) – administers the U.S. space program

  1. Congressional oversight
  2. Forms of congressional supervision
  3. Congressional approval necessary for creation
  4. Statutes influence agency behavior (sometimes precisely)
  5. Congress may rewrite legislation or make it more detailed which restricts power of an agency
  6. Authorization of money, either permanent or fixed number of years
  7. No agency may spend money unless it’s been authorized by Congress
  8. But money must also be appropriated
  9. Appropriation of money allows spending
  10. Money formally set aside for a specific use and usually less than what was authorized
  11. Appropriation Committees of House & Senate divide up all the available money among the agencies
  12. Duplication
  13. Congress rarely gives any one job to a single agency
  14. Spreading out responsibility can lead to contradictions among agencies and inhibits responsiveness of government
  15. Prevents one agency from becoming all powerful
  16. Hearings
  17. Congressional committees investigate agency abuses
  18. Congressional oversight and "homeland security"
  19. Lieberman's call for Department of Homeland Defense after September 11 attack
  20. President Bush's creation of Office of Homeland Security
  21. Appointment of Governor Ridge and the blueprint for homeland security
  22. Congressional calls for testimony about strategies
  23. Need to coordinate personnel and budgets
  24. Proposal of a Department of Homeland Security
  25. Consolidation, reorganization and transformation
  26. Need for Congress to reorganize itself to make the bureaucracy work
  27. Immediate protests about committee and subcommittee jurisdiction
  28. Congress' historical tendency to resist streamlining
  29. Importance of Appropriations Committee and legislative committees
  30. Legislative committees are important when
  31. A law is first passed
  32. An agency is first created
  33. An agency is subject to annual authorization
  34. Appropriations Committee most powerful
  35. Most expenditure recommendations are approved by full House without change
  36. Has power to lower agency's expenditure request
  37. Has power to influence an agency's policies by marking up an agency's budget
  38. Losing power
  39. Trust funds like Social Security are automatic
  40. Annual authorizations are done by legislative committees not Appropriations
  41. Meeting target spending limits in an attempt to reduce spending (leaves little time to discuss the merits of particular programs)

  1. Informal congressional controls over agencies
  2. Individual members of Congress can seek privileges for constituents
  3. Congressional committees may seek committee clearance or the right to pass on certain agency decisions
  4. Committee heads may ask to be consulted before certain actions are taken
  1. The legislative veto
  2. Requirement that executive decisions lie before Congress for a certain period of time before it takes effect so Congress could “approve or disapprove”
  3. Declared unconstitutional by Supreme Court in Chadha (1983)
  4. Weakens traditional legislative oversight but Congress continues creating such vetoes
  5. Congressional investigations
  6. Power inferred from power to legislate
  7. Means for checking agency discretion
  8. Means for limiting presidential control
  1. Presidential accountability
  2. Appointments
  3. Executive orders

  1. Bureaucratic "pathologies" or criticisms
  2. Red tape -- complex and sometimes conflicting rules, regulations and paperwork among agencies that makes government so overwhelming to citizens
  3. Conflict -- agencies work at cross-purposes
  4. Duplication