BureaucracyBureaucracy

The Nature of the The Nature of the BureaucracyBureaucracy

BureaucracyBureaucracy: 4: 4thth branch branch All similar All similar

characteristics characteristics -- -- – Structured Structured

hierarchicallyhierarchically– job specialization job specialization – rules and regs that rules and regs that

drive them drive them – Make and run govt Make and run govt

policiespolicies– Workers hired not Workers hired not

electedelected

Theories of BureaucracyTheories of BureaucracyWeberian ModelWeberian Model

Max WeberMax Weber– Need bureaucracies (they are inevitable) due Need bureaucracies (they are inevitable) due

to complexities of modern life and many roles to complexities of modern life and many roles government has to play in citizens’ livesgovernment has to play in citizens’ lives

– Bureaucracies are hierarchical – people at top Bureaucracies are hierarchical – people at top direct people at lower levelsdirect people at lower levels

– Specific rules determine how decisions are Specific rules determine how decisions are mademade

– People who work in bureaucracy – bureaucrats People who work in bureaucracy – bureaucrats – have special skills to solve problems– have special skills to solve problems

– Advancement based on merit instead of Advancement based on merit instead of political connection political connection

Theories of BureaucracyTheories of BureaucracyAcquisitive ModelAcquisitive Model

Those at the head/top of bureaucracy Those at the head/top of bureaucracy are always looking to expand – are always looking to expand – budgets, number of employees, etc.budgets, number of employees, etc.

Theories of BureaucracyTheories of BureaucracyMonopolistic ModelMonopolistic Model

No competition – so are No competition – so are inefficient/wasteful/slowinefficient/wasteful/slow

The Size of the BureaucracyThe Size of the Bureaucracy– Today the federal government employs about Today the federal government employs about

2.7 million (4 million total including military)2.7 million (4 million total including military)– The two biggest employers of civilians are the The two biggest employers of civilians are the

U.S. Postal Service (almost 800,000) and the U.S. Postal Service (almost 800,000) and the Department of Defense (more than 650,000)Department of Defense (more than 650,000)

– https://www.youtube.com/watch?v=PhSX_GwGP4s

– President only appoints about 3% of the President only appoints about 3% of the federal workforce, how much control do you federal workforce, how much control do you think he has over the bureaucracy?think he has over the bureaucracy?

– 97% are career govt employees or 97% are career govt employees or civil civil servantsservants

– 15 Cabinet Depts, 200+ agencies with 2000+ 15 Cabinet Depts, 200+ agencies with 2000+ branchesbranches

Functions of the Federal Functions of the Federal Bureaucracy Bureaucracy

Implementation –Implementation –– Carry out laws of Congress, executive orders Carry out laws of Congress, executive orders

of the Presidentof the President Administration Administration

– Routine administrative work; provide Routine administrative work; provide services (ex. SSA sends social security services (ex. SSA sends social security checks to beneficiaries)checks to beneficiaries)

Regulation Regulation – Issue rules and regulations that impact the Issue rules and regulations that impact the

public (ex. EPA sets clean air standards)public (ex. EPA sets clean air standards)

The Organization The Organization of the Federal Bureaucracyof the Federal Bureaucracy

– Cabinet departmentsCabinet departments– Independent executive agenciesIndependent executive agencies– Independent regulatory agenciesIndependent regulatory agencies– Government corporationsGovernment corporations

Cabinet DepartmentsCabinet Departments 15 Cabinet Depts.15 Cabinet Depts. Directly accountable to Pres, perform Directly accountable to Pres, perform

govt functionsgovt functions Headed by cabinet secretary, (except Headed by cabinet secretary, (except

Justice Dept, which is headed by AG) Justice Dept, which is headed by AG) appointed by president and approved by appointed by president and approved by Senate (divided govt)Senate (divided govt)

Secr & AG are like CEO’s of their Secr & AG are like CEO’s of their departmentsdepartments

Structure below top level is staffed by Structure below top level is staffed by permanent employees, problems? permanent employees, problems?

Independent Executive Independent Executive AgenciesAgencies

President appoints head President appoints head of agency, consent of of agency, consent of SenateSenate

Agency reports directly to Agency reports directly to PresidentPresident

Not under Cabinet Not under Cabinet Generally perform service Generally perform service

function, not regulatory function, not regulatory (exception EPA)(exception EPA)

Examples: NASA, National Examples: NASA, National Archives, CIAArchives, CIA

Independent Independent Executive AgenciesExecutive Agencies

Independent Regulatory Independent Regulatory Agencies/CommissionsAgencies/Commissions

Make rules and regulations for a specific area– Help where other 3 Help where other 3

branches cannot legislate branches cannot legislate or oversee all the time, or oversee all the time, independent from all 3 independent from all 3 branches, meant to create, branches, meant to create, enforce and impose regs enforce and impose regs free of political influence free of political influence

called “commissions” called “commissions” – most have – most have commission or board commission or board who share pwr over who share pwr over agencyagency

Independent Regulatory Independent Regulatory AgenciesAgencies

Congress not able to Congress not able to handle complexities handle complexities required by certain required by certain areas of law areas of law

Regulates somethingRegulates something Make rules that have Make rules that have

force of law force of law (regs),enforce those (regs),enforce those rules (exec) and may rules (exec) and may impose fines or impose fines or punishment (judicial) punishment (judicial) -- quasi-leg. & quasi--- quasi-leg. & quasi-judicial judicial

Independent Regulatory Independent Regulatory AgenciesAgencies

Can be checked by Can be checked by courtscourts

IR operate independently IR operate independently from Pres & Congress from Pres & Congress (doesn’t report to pres)(doesn’t report to pres)

Appointed by Pres with Appointed by Pres with consent of Senateconsent of Senate

Once appointed, Once appointed, members cannot be members cannot be removed without cause removed without cause (causes specified in law (causes specified in law creating agency)creating agency)

CANNOT all be from CANNOT all be from same political partysame political party

IRA – Agency Capture IRA – Agency Capture

Independence Independence called into called into question, some question, some argue agencies argue agencies captured by the captured by the very industry/firm very industry/firm they were they were suppose to suppose to regulate regulate

Independent Independent Regulatory Agencies Regulatory Agencies

Government Government CorporationsCorporations

Government agency that Government agency that is involved in businessis involved in business– Charge for servicesCharge for services– May be profitableMay be profitable

Operate separately from Operate separately from governmentgovernment

Funded by government Funded by government when can’t pay their billswhen can’t pay their bills

Examples: AMTRAK and Examples: AMTRAK and US Postal ServiceUS Postal Service

Selected Selected Government CorporationsGovernment Corporations

How to tell the difference?How to tell the difference?

1. Is it a cabinet position?1. Is it a cabinet position? Is it regulating something? Is it regulating something? Is it charging for its services?Is it charging for its services? If answer to all 3 is no, then it’s If answer to all 3 is no, then it’s

probably independent executive probably independent executive agency agency

Department Homeland Department Homeland SecuritySecurity

Staffing the BureaucracyStaffing the Bureaucracy2 bureaucrats?2 bureaucrats?

–Political appointees & Civil Political appointees & Civil Servants Servants

Political appointees Political appointees –Plum Book/ aristocracy of the Plum Book/ aristocracy of the federal governmentfederal government–Pros/Cons of positions? Pros/Cons of positions? –The difficulty in firing civil The difficulty in firing civil servantsservants

Civil Servants Civil Servants –Relationships with Relationships with appointees?appointees?–Difficulty firing, why?Difficulty firing, why?–Have advantage over pres & Have advantage over pres & congress in policy making bc congress in policy making bc of continuity of service of continuity of service

History of Federal Civil History of Federal Civil ServiceService

Spoils system – Spoils system – became standard became standard method of filling method of filling federal positions, federal positions, positions went to positions went to friends & friends & supporters, when supporters, when new pres elected, new pres elected, staffing would staffing would almost completely almost completely turn overturn over

History of Federal Civil History of Federal Civil ServiceService

Civil Service Reform Act Civil Service Reform Act 1883/1883/Pendleton ActPendleton Act– Limits on spoils system, Limits on spoils system,

established merit system established merit system – Merit system –hiring or Merit system –hiring or

promotion based on promotion based on merit/experience merit/experience qualifications qualifications

– Hiring based on testing Hiring based on testing or some objective or some objective measuremeasure

– Created Civil Service Created Civil Service Commission Commission

History of Federal Civil History of Federal Civil ServiceService

Civil Service Reform Act Civil Service Reform Act of 1978 –of 1978 –– created Office of created Office of

Personnel Personnel ManagementManagement Recruits, interviews, Recruits, interviews,

hireshires

– created Merit Systems created Merit Systems Protection Board – Protection Board – oversees promotions, oversees promotions, discipline discipline

The Hatch Act-1939The Hatch Act-1939 Prohibited federal Prohibited federal

employees from employees from actively actively participating in participating in political political managements of managements of campaigns campaigns

Prohibited govt Prohibited govt employees from employees from active participation active participation in partisan politicsin partisan politics

The Hatch Act -- amendedThe Hatch Act -- amended Amended in part by Amended in part by

Federal Employees Federal Employees Political Act 1993- Political Act 1993- a a

Bureaucrats CAN:Bureaucrats CAN:

– Vote and assist Vote and assist in voter in voter registrationregistration

– Contribute $$ to Contribute $$ to campaignscampaigns

– Campaign off Campaign off dutyduty

The Hatch Act -- amendedThe Hatch Act -- amended Amended in part by Amended in part by

Federal Employees Federal Employees Political Act 1993- Political Act 1993- a a

Bureaucrats CAN’T:Bureaucrats CAN’T:

– Run for public Run for public officeoffice

– Fund raise for Fund raise for politicians during politicians during workwork

– Discourage Discourage political activity political activity

Criticisms of Bureaucracy Criticisms of Bureaucracy

Red tape Red tape – Too many rigid Too many rigid

proceduresprocedures InefficiencyInefficiency

– Lack of incentive Lack of incentive to be productive, to be productive, no profit motiveno profit motive

Criticisms of Bureaucracy Criticisms of Bureaucracy Undemocratic – not Undemocratic – not

electedelected Duplication of Duplication of

ServicesServices– Bureaucracy Bureaucracy

complicatedcomplicated– Agencies perform Agencies perform

similar and sometimes similar and sometimes same functions same functions

– Federalism – many Federalism – many services provided at services provided at state and local levels state and local levels

Criticism of Bureuacracy Criticism of Bureuacracy Bureaucracy is Law Bureaucracy is Law

MakerMaker– Regulations end up Regulations end up

having effect of law, having effect of law, violate sep of pwrsviolate sep of pwrs

Bureaucracy is too bigBureaucracy is too big– Privatization would be Privatization would be

more effective more effective – https://www.youtube.co

m/watch?v=kyrKXACpUFg

Criticism of Bureuacracy Criticism of Bureuacracy Bureaucracy is Bureaucracy is

corruptcorrupt– Iron triangle – Iron triangle –

reveals relationship reveals relationship btwn exec branch, btwn exec branch, congress and congress and private interest private interest groups that can groups that can lead to decisions lead to decisions which benefit the which benefit the private sector at private sector at expense of govt expense of govt

Modern Attempts Modern Attempts at Bureaucratic Reformat Bureaucratic Reform

–Sunshine lawsSunshine laws: require agencies to conduct : require agencies to conduct many sessions in public many sessions in public

The The 1966 Freedom of Information Act1966 Freedom of Information Act: opened up : opened up government files to citizen requests for government files to citizen requests for information, in particular about themselvesinformation, in particular about themselves

After 9/11, however, the government established a After 9/11, however, the government established a campaign to limit disclosure of any information campaign to limit disclosure of any information that could conceivably be used by terroriststhat could conceivably be used by terrorists

–Sunset lawsSunset laws: require Congressional review of : require Congressional review of existing programs to determine their existing programs to determine their effectiveness; if Congress does not explicitly effectiveness; if Congress does not explicitly reauthorize a program, it expires “sun sets”:reauthorize a program, it expires “sun sets”:

Modern Attempts at Modern Attempts at Bureaucratic Reform Bureaucratic Reform

(continued)(continued)– PrivatizationPrivatization – govt services replaced by services – govt services replaced by services

from private sector or voucher programsfrom private sector or voucher programs– Incentives for efficiency and productivityIncentives for efficiency and productivity

Government Performance and Results Act of 1997 Government Performance and Results Act of 1997 Some argue that bureaucratic inefficiencies are Some argue that bureaucratic inefficiencies are

the result of the political decision-making the result of the political decision-making process, some argue problems result bc of those process, some argue problems result bc of those who run organizations who run organizations

Saving costs through e-government – some Saving costs through e-government – some changes made, govt websites, more room for changes made, govt websites, more room for growth growth

Whistleblowers Whistleblowers

WhistleblowerWhistleblower– Someone who Someone who

brings to public brings to public attention gross attention gross governmental governmental inefficiency or inefficiency or illegal actionillegal action

Examples?Examples?

Whistleblowers Whistleblowers – Laws protecting Laws protecting

whistleblowers? whistleblowers? Merit Systems Merit Systems

Protection BoardProtection Board Whistle-Blower Whistle-Blower

Protection Act Protection Act False Claims Act – if False Claims Act – if

whistleblower discloses whistleblower discloses fraud against govt can fraud against govt can receive a monetary receive a monetary award or sue govt it award or sue govt it govt declines to bring govt declines to bring suit suit

Whistleblowers Whistleblowers

– Many don’t receive Many don’t receive real protectionreal protection

– Obama used Obama used Espionage Act of Espionage Act of 1917 to prosecute 1917 to prosecute federal workers who federal workers who leaked to pressleaked to press

Whistleblowers ExamplesWhistleblowers Examples

http://www.nbcnewyork.com/news/local/Madoff-Whistleblower-Markopolos-Slams-SEC-in-New-Book-87173332.html

Bureaucrats as Politicians Bureaucrats as Politicians and Policy Makersand Policy Makers

Congress delegates pwr Congress delegates pwr through enabling through enabling legislationlegislation

In theory, agency should In theory, agency should implement Congress’ laws, implement Congress’ laws, but agencies role to decide but agencies role to decide how laws should be how laws should be implemented requires implemented requires formation of admin rulesformation of admin rules

Agencies make rules, Agencies make rules, enforce rules and enforce rules and adjudicate violations of adjudicate violations of rules, this violates what? rules, this violates what? – Sep of PwrsSep of Pwrs

Also means agency become Also means agency become unelected policymakerunelected policymaker

Bureaucrats as Bureaucrats as PolicymakersPolicymakers

– Rule making – interested parties have Rule making – interested parties have opportunity to comment on proposed regs opportunity to comment on proposed regs and try to convince agency to and try to convince agency to redraft/change regsredraft/change regs Waiting periods – 60 days and can then Waiting periods – 60 days and can then

enforced enforced If company would incur significant costs to If company would incur significant costs to

comply, can challenge in courtscomply, can challenge in courts

– Negotiated rulemaking Act 1990 – Negotiated rulemaking Act 1990 – purpose to avoid lawsuits, authorizes purpose to avoid lawsuits, authorizes agencies to allow those effected by new agencies to allow those effected by new rule to participate in rule drafting processrule to participate in rule drafting process Once agreement is reached, can’t challenge in Once agreement is reached, can’t challenge in

court court

Why does Congress give fed Why does Congress give fed agencies policy-making agencies policy-making

discretion?discretion? Congress lacks Congress lacks

expertise/agencieexpertise/agencies have its have it

Less time Less time consumingconsuming

More efficientMore efficient Easier for agency Easier for agency

to come to to come to agreement agreement

Iron TrianglesIron Triangles

https://www.youtube.com/watch?v=c7v1KwM3pnE

Iron TrianglesIron Triangles

Relationship Relationship btwn exec btwn exec branch, congress branch, congress comm & interest comm & interest groups, all groups, all involved in one involved in one area of policy area of policy making making

Issue NetworksIssue Networks Used by some instead of iron triangle to Used by some instead of iron triangle to

describes policymaking processdescribes policymaking process Iron triangles – diff interest groups Iron triangles – diff interest groups

concerned about diff issues have concerned about diff issues have conflicting demandsconflicting demands

Individuals, orgs that support a Individuals, orgs that support a particular particular policy position policy position on environment, taxation, on environment, taxation, consumer safety or some other issueconsumer safety or some other issue

Members of particular issue network work Members of particular issue network work together to influence the president, together to influence the president, members of Congress, admin agencies members of Congress, admin agencies and courts to affect public policy on a and courts to affect public policy on a specific issuespecific issue

Iron TrianglesIron Triangles

Can improve Can improve efficiency efficiency

Can cause Can cause decisions to be decisions to be made which made which benefit interest benefit interest group at group at expense of govtexpense of govt

Iron TrianglesIron Triangles Revolving door – Revolving door –

govt industry govt industry revolving door puts revolving door puts industry-friendly industry-friendly experts in positions experts in positions of decision-making of decision-making pwrpwr

Individuals often Individuals often rotate btwn rotate btwn working for industry working for industry and govt , conflict and govt , conflict of interestof interest

What factors lead to What factors lead to bureaucratic independence?bureaucratic independence? The structure of bureaucracy promotes independence The structure of bureaucracy promotes independence

– SizeSize– specialization/expertisespecialization/expertise– Jobs under merit system/hard to fire certain Jobs under merit system/hard to fire certain

employeesemployees– Independence of independent agencies and Independence of independent agencies and

regulatory commissions regulatory commissions Complexity of public policy problems Complexity of public policy problems

– Delegated authority – Congress and president cannot handle Delegated authority – Congress and president cannot handle everything everything

– Discretionary authority – legislation vague, bur has pwr to fill in Discretionary authority – legislation vague, bur has pwr to fill in gaps gaps

– Bur have specialization and expertise Bur have specialization and expertise

Checks -- Congressional Checks -- Congressional Control Control

of the Bureaucracyof the Bureaucracy How does Congress check the bureaucracy and ensure How does Congress check the bureaucracy and ensure agencies follow legislative intentagencies follow legislative intent? The ultimate control is ? The ultimate control is in the hands of Congressin the hands of Congress

Congress controls the purse strings, can reward or punish Congress controls the purse strings, can reward or punish with appropriations with appropriations

Create or abolish agencies & depts.Create or abolish agencies & depts. Oversight via investigations, hearings, and review (appear Oversight via investigations, hearings, and review (appear

before Cong. Comms) before Cong. Comms) Govt Accountability Office Govt Accountability Office Can change laws Can change laws Can reject presidential appointments to Can reject presidential appointments to

bureaucracy bureaucracy Can impeach executive officials Can impeach executive officials Use casework to get information about issues Use casework to get information about issues

Checks -- Congressional Checks -- Congressional Control Control

Why does Congress fail?Why does Congress fail? Congress does sometimes fail to exercise effective Congress does sometimes fail to exercise effective oversight – why?oversight – why?– Oversight labor intensiveOversight labor intensive– Lack technical expertiseLack technical expertise– Iron triangles/cozy relationship with agenciesIron triangles/cozy relationship with agencies– Interest groups/PACs may encourage members to overlook Interest groups/PACs may encourage members to overlook

effective administrationeffective administration– Enabling legislation is vague – allowed agency too much Enabling legislation is vague – allowed agency too much

discretion or powerdiscretion or power– Failure to “use” available pwrs or ineffective use of them Failure to “use” available pwrs or ineffective use of them – http://

www.c-spanclassroom.org/Video/58/Michael+Brown+testifies+before+Congress.aspx

Government Accountability Government Accountability Office -- GAOOffice -- GAO

Congress’ watchdog Congress’ watchdog Designed to audit Designed to audit

and review executive and review executive branch agencies branch agencies

Part of legislative Part of legislative branch, headed by branch, headed by the Comptroller the Comptroller General (appointed General (appointed by pres confirmed by by pres confirmed by SenateSenate

Checks by the CourtsChecks by the Courts Judicial review – can Judicial review – can

declare bureaucratic declare bureaucratic actions unconstitutional actions unconstitutional or limit bureaucratic or limit bureaucratic practices practices

Can issue injunctions Can issue injunctions against federal agencies against federal agencies

Provide due process for Provide due process for individuals affected by individuals affected by bureaucratic action bureaucratic action

President’s oversight? President’s oversight?

Appoint & remove agency headsAppoint & remove agency heads Issue executive ordersIssue executive orders RecommendRecommend to reduce an agency’s to reduce an agency’s

budgetbudget Use office to try and influence Use office to try and influence

agency and policyagency and policy

Checks by Interest GroupsChecks by Interest Groups

Interest groups Interest groups can use the 1can use the 1stst Amendment by Amendment by lobbying, lobbying, protesting, using protesting, using the media and the media and otherwise otherwise speaking out to speaking out to check the check the bureaucracy bureaucracy

Questions for Critical Questions for Critical Thinking Thinking

What could be done to eliminate iron What could be done to eliminate iron triangles? triangles?

In modern times, we tend to equate In modern times, we tend to equate the term “the term “bureaucracybureaucracy” with “” with “red red tapetape” or inefficiency. How does the ” or inefficiency. How does the goal of neutrality and the need for goal of neutrality and the need for specialization help reinforce those specialization help reinforce those images? images?

Presidents and Their Plans Presidents and Their Plans