chapter 15 the bureaucracy ap united states government and politics ap united states government and...
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Chapter 15 The Bureaucracy
Chapter 15 The Bureaucracy
AP United States Government and Politics
AP United States Government and Politics
Distinctiveness of the U.S. Bureaucracy
Distinctiveness of the U.S. Bureaucracy
A. Constitutional system and traditions1. Supervision shared2. A federalist structure shares functions3. Adversary culture leads to defense of rights
and lawsuits
B. Scope of Bureaucracy1. Little public ownership of industry in the
United States2. High degree of regulation in the United
States in private industries
A. Constitutional system and traditions1. Supervision shared2. A federalist structure shares functions3. Adversary culture leads to defense of rights
and lawsuits
B. Scope of Bureaucracy1. Little public ownership of industry in the
United States2. High degree of regulation in the United
States in private industries
Distinctiveness of the U.S. Bureaucracy
Distinctiveness of the U.S. Bureaucracy
C. Proxy government1. Bureaucrats have others do work for them: state
and local governments, business firms and nonprofit organizations
2. Examples: Social Security, Medicare, much environmental protection, collecting income taxes, many military duties and FEMA
3. Points of debatea) Concerns about how third parties like to use the money we give
themb) Congress and the president like to keep the bureaucracy smallc) Defenders highlight flexibility, principles of federalism and good
use of private and nonprofit skills
C. Proxy government1. Bureaucrats have others do work for them: state
and local governments, business firms and nonprofit organizations
2. Examples: Social Security, Medicare, much environmental protection, collecting income taxes, many military duties and FEMA
3. Points of debatea) Concerns about how third parties like to use the money we give
themb) Congress and the president like to keep the bureaucracy smallc) Defenders highlight flexibility, principles of federalism and good
use of private and nonprofit skills
The Growth of the Bureaucracy
The Growth of the Bureaucracy
A. Constitution made little provision for administrative system, so provides little guidance
1. One early controversy ended when the Supreme Court gave the president sole removal power
2. Congress still funds and investigates agencies, and shaped the laws they administer
A. Constitution made little provision for administrative system, so provides little guidance
1. One early controversy ended when the Supreme Court gave the president sole removal power
2. Congress still funds and investigates agencies, and shaped the laws they administer
The Growth of the Bureaucracy
The Growth of the Bureaucracy
B. The Appointment of Officials1. Officials affect how laws are interpreted, tone and
effectiveness of administration, party strength2. Patronage in 19th and early 20th centuries rewarded
supporters, induced congressional support, built party organizations
3. Civil War a watershed in bureaucratic growth; it showed the administrative weakness of federal government and increased demands for civil service reform
4. Post-Civil War period saw industrialization, emergence of national economy- power of national government to regulate interstate commerce became necessary and controversial
B. The Appointment of Officials1. Officials affect how laws are interpreted, tone and
effectiveness of administration, party strength2. Patronage in 19th and early 20th centuries rewarded
supporters, induced congressional support, built party organizations
3. Civil War a watershed in bureaucratic growth; it showed the administrative weakness of federal government and increased demands for civil service reform
4. Post-Civil War period saw industrialization, emergence of national economy- power of national government to regulate interstate commerce became necessary and controversial
The Growth of the BureaucracyThe Growth of the Bureaucracy
C. A Service Role1. 1861-1901: new agencies primarily
performed service rolesa) Constraints of limited government, states’ rights,
and fragmented power b) Laissez-faire philosophyc) Supreme Court held that, under the Constitution,
executive agencies could only apply statues passed by Congress
2. Wars led to reduced restrictions on administrators and an enduring increase in executive branch personnel
C. A Service Role1. 1861-1901: new agencies primarily
performed service rolesa) Constraints of limited government, states’ rights,
and fragmented power b) Laissez-faire philosophyc) Supreme Court held that, under the Constitution,
executive agencies could only apply statues passed by Congress
2. Wars led to reduced restrictions on administrators and an enduring increase in executive branch personnel
The Growth of the Bureaucracy
The Growth of the Bureaucracy
D. A Change in Role1. Depression & WWII led to government activism2. Supreme Court upheld laws that granted discretion to
administrative agencies3. Heavy use of income taxes supported war effort and a large
bureaucracy4. Public believe in continuing military preparedness & various
social programs5. 9/11 attacks could also affect bureaucracy as profoundly as
WWII & the Depressiona) New cabinet agency (Dept. of Homeland Security) was
createdb) Consolidation of intelligence-gathering activities under
National Intelligence Director
D. A Change in Role1. Depression & WWII led to government activism2. Supreme Court upheld laws that granted discretion to
administrative agencies3. Heavy use of income taxes supported war effort and a large
bureaucracy4. Public believe in continuing military preparedness & various
social programs5. 9/11 attacks could also affect bureaucracy as profoundly as
WWII & the Depressiona) New cabinet agency (Dept. of Homeland Security) was
createdb) Consolidation of intelligence-gathering activities under
National Intelligence Director
The Federal Bureaucracy Today
The Federal Bureaucracy Today
A. Direct and indirect growth1. Modest increase in number of government
employees2. Significant indirect increase in number of
employees through use of private contractors, state and local government employees
3. Most federal executive departments have reduced workforce -- major exception being the Federal Bureau of Prisons in the U.S. Department of Justice
A. Direct and indirect growth1. Modest increase in number of government
employees2. Significant indirect increase in number of
employees through use of private contractors, state and local government employees
3. Most federal executive departments have reduced workforce -- major exception being the Federal Bureau of Prisons in the U.S. Department of Justice
The Federal Bureaucracy TodayThe Federal Bureaucracy Today
B. Growth in discretionary authority-the ability to choose courses of action and to make policies not set out in the statutory law
1. Delegation of undefined authority by Congress greatly increased
2. Primary areas of delegationa) Subsidies to groups and organizations b) Grant-in-aid programs, transferring money from national to state
and local governmentsc) Devising and enforcing regulations, especially for the economy
B. Growth in discretionary authority-the ability to choose courses of action and to make policies not set out in the statutory law
1. Delegation of undefined authority by Congress greatly increased
2. Primary areas of delegationa) Subsidies to groups and organizations b) Grant-in-aid programs, transferring money from national to state
and local governmentsc) Devising and enforcing regulations, especially for the economy
The Federal Bureaucracy TodayThe Federal Bureaucracy Today
C. Factors Explaining the Behavior of Officials1. Recruitment and retention
a) Competitive service: bureaucrats compete for jobs through OPM
(1)Appointment by merit based on written exam or through selection criteria
(2)Decreased to less than 54 percent of federal government work force
C. Factors Explaining the Behavior of Officials1. Recruitment and retention
a) Competitive service: bureaucrats compete for jobs through OPM
(1)Appointment by merit based on written exam or through selection criteria
(2)Decreased to less than 54 percent of federal government work force
The Federal Bureaucracy TodayThe Federal Bureaucracy Today
b) The excepted service: most are appointed by other agencies on the basis of qualifications approved by OPM(1) Fastest growing sector of federal government
employment(2) Examples: postal service employees and FBI agents(3) But president can also appoint employees:
presidential appointments, Schedule C jobs, and NEA jobs
(4) Pendleton Act (1883): Changed the basis of government jobs from patronage to merit
(5) Merit system protects president from pressure and protects patronage appointees from removal by new presidents
b) The excepted service: most are appointed by other agencies on the basis of qualifications approved by OPM(1) Fastest growing sector of federal government
employment(2) Examples: postal service employees and FBI agents(3) But president can also appoint employees:
presidential appointments, Schedule C jobs, and NEA jobs
(4) Pendleton Act (1883): Changed the basis of government jobs from patronage to merit
(5) Merit system protects president from pressure and protects patronage appointees from removal by new presidents
The Federal Bureaucracy TodayThe Federal Bureaucracy Today
c) The buddy system(1) Name-request job: filled by a person whom agency has
already identified for middle-and-upper level jobs(2) Job description may be tailored for person(3) Circumvents the usual search process(4) Encourages issue networks based on shared policy views
c) The buddy system(1) Name-request job: filled by a person whom agency has
already identified for middle-and-upper level jobs(2) Job description may be tailored for person(3) Circumvents the usual search process(4) Encourages issue networks based on shared policy views
d) Firing a bureaucrat (1) Most bureaucrats cannot be fired(2) Exception: Senior Executive Service (SES)(3) Senior Executive Service (SES) was established to provide the
president and cabinet with more control in personnel decisions
(4) But very few SES members have actually been fired or even transferred, and cash bonuses have not been influential
d) Firing a bureaucrat (1) Most bureaucrats cannot be fired(2) Exception: Senior Executive Service (SES)(3) Senior Executive Service (SES) was established to provide the
president and cabinet with more control in personnel decisions
(4) But very few SES members have actually been fired or even transferred, and cash bonuses have not been influential
The Federal Bureaucracy Today
The Federal Bureaucracy Today
e) The agencies’ point of view(1) Agencies are dominated by lifetime
bureaucrats who have worked for no other agency
(2) Long-term service assures continuity and expertise
(3) Long-term service also gives subordinates power over new bosses: can work behind their boss’s back through sabotage, delaying, etc.
e) The agencies’ point of view(1) Agencies are dominated by lifetime
bureaucrats who have worked for no other agency
(2) Long-term service assures continuity and expertise
(3) Long-term service also gives subordinates power over new bosses: can work behind their boss’s back through sabotage, delaying, etc.
The Federal Bureaucracy TodayThe Federal Bureaucracy Today
2. Personal attributesa) Allegations of critics
(1) Higher civil servants are elitists
(2) Career bureaucrats are more likely to hold liberal views, vote Democrat and trust
government
b) Correlation between type of agency and attitudes of employees: activist vs. traditional
c) Professional values of officials
2. Personal attributesa) Allegations of critics
(1) Higher civil servants are elitists
(2) Career bureaucrats are more likely to hold liberal views, vote Democrat and trust
government
b) Correlation between type of agency and attitudes of employees: activist vs. traditional
c) Professional values of officials
The Federal Bureaucracy Today
The Federal Bureaucracy Today
3. Do bureaucrats sabotage their political bosses?
a) If so, such sabotage hurts conservatives more than liberals: bureaucrats tend to be liberal
b) But bureaucrats do have obstructive powers- (1) Whistleblower Protection Act (1989) created office of Special
Counsel(2) “Cooperation is the nature of a bureaucrat’s job”
c) Most civil servants have highly structured jobs that make their personal attitudes irrelevant
d) Professionals’ loosely structured roles may cause their work to be more influenced by personal attitudes(1) Professional values help explain how power is used(2) Example: Lawyers vs.. economists at the Federal Trade
Commission
3. Do bureaucrats sabotage their political bosses?
a) If so, such sabotage hurts conservatives more than liberals: bureaucrats tend to be liberal
b) But bureaucrats do have obstructive powers- (1) Whistleblower Protection Act (1989) created office of Special
Counsel(2) “Cooperation is the nature of a bureaucrat’s job”
c) Most civil servants have highly structured jobs that make their personal attitudes irrelevant
d) Professionals’ loosely structured roles may cause their work to be more influenced by personal attitudes(1) Professional values help explain how power is used(2) Example: Lawyers vs.. economists at the Federal Trade
Commission
The Federal Bureaucracy Today
The Federal Bureaucracy Today
4. Culture and careersa) Each agency has its own culture, an informal
understanding among employees about how they are supposed to act
b) Jobs with an agency can be career enhancing or notc) Strong agency culture motivates employees but
makes agencies resistant to change
4. Culture and careersa) Each agency has its own culture, an informal
understanding among employees about how they are supposed to act
b) Jobs with an agency can be career enhancing or notc) Strong agency culture motivates employees but
makes agencies resistant to change
5. Constraints a) Biggest difference between a government agency
and a business: hiring, firing, pay, procedures, and so
5. Constraints a) Biggest difference between a government agency
and a business: hiring, firing, pay, procedures, and so
The Federal Bureaucracy Today
The Federal Bureaucracy Today
b) General Constraints1) Administrative Procedure
Act (1946)2) Freedom of Information
Act (1966)3) National Environmental
Policy Act (1969)4) Privacy Act (1974)5) Open Meeting Law (1976)6) Several agencies are
often assigned to a single policy
b) General Constraints1) Administrative Procedure
Act (1946)2) Freedom of Information
Act (1966)3) National Environmental
Policy Act (1969)4) Privacy Act (1974)5) Open Meeting Law (1976)6) Several agencies are
often assigned to a single policy
c) Effects of constraints1) Government moves slowly 2) Government sometimes
acts inconsistently 3) Easier to block action than
take action4) Reluctant decision making
by lower-ranking employees
5) Red tape
c) Effects of constraints1) Government moves slowly 2) Government sometimes
acts inconsistently 3) Easier to block action than
take action4) Reluctant decision making
by lower-ranking employees
5) Red tape
The Federal Bureaucracy Today
The Federal Bureaucracy Today
6. Why so many constraints?a) Constraints come from citizensb) Agencies try to respond to citizen
demands for openness, honesty, fairness, etc.
6. Why so many constraints?a) Constraints come from citizensb) Agencies try to respond to citizen
demands for openness, honesty, fairness, etc.
The Federal Bureaucracy TodayThe Federal Bureaucracy Today7. Agency allies
a) Agencies often seek alliances with congressional committees and interest groups(1) Iron triangle- a tight, mutually advantageous alliance(2) Resulted in client politics
b) Far less common today- politics has become too complicated(1) More interest groups, more congressional subcommittees-
more competing forces(2) Courts have also granted more access
c) Issue networks: groups that regularly debate government policy on certain issues(1) Contentious- split along partisan, ideological, economic
lines(2) New presidents often recruit from networks
7. Agency alliesa) Agencies often seek alliances with congressional
committees and interest groups(1) Iron triangle- a tight, mutually advantageous alliance(2) Resulted in client politics
b) Far less common today- politics has become too complicated(1) More interest groups, more congressional subcommittees-
more competing forces(2) Courts have also granted more access
c) Issue networks: groups that regularly debate government policy on certain issues(1) Contentious- split along partisan, ideological, economic
lines(2) New presidents often recruit from networks
Congressional OversightCongressional Oversight
A. Forms of congressional supervision
1. Approval necessary for creation2. Statutes influence agency
behavior (sometimes precisely)3. Authorization of money, either
permanent or fixed number of years
4. Appropriation of money allows spending
A. Forms of congressional supervision
1. Approval necessary for creation2. Statutes influence agency
behavior (sometimes precisely)3. Authorization of money, either
permanent or fixed number of years
4. Appropriation of money allows spending
Congressional OversightCongressional OversightB. The Appropriations Committee and legislative
committees 1. Appropriations Committee may be the most powerful of all
the congressional committeesa) Most expenditure recommendations are approved by Houseb) Tends to recommend an amount lower than the agency
requestedc) Has power to influence an agency’s policies by “marking up” an
agency’s budgetd) But becoming less powerful
1) Trust funds operate outside the regular government budget and are not controlled by the appropriations committees
2) Annual authorizations allow the legislative committees greater oversight
3) Budget deficits have necessitated cuts
B. The Appropriations Committee and legislative committees
1. Appropriations Committee may be the most powerful of all the congressional committees
a) Most expenditure recommendations are approved by Houseb) Tends to recommend an amount lower than the agency
requestedc) Has power to influence an agency’s policies by “marking up” an
agency’s budgetd) But becoming less powerful
1) Trust funds operate outside the regular government budget and are not controlled by the appropriations committees
2) Annual authorizations allow the legislative committees greater oversight
3) Budget deficits have necessitated cuts
Congressional OversightCongressional Oversight
2. Legislative committees are important when . . .
a) A law is first passedb) An agency is first createdc) An agency is subject to annual authorization
3. Informal congressional controls over agenciesa) Individual members of Congress can seek privileges
for constituentsb) Congressional committees may seek clearance, the
right to pass on certain agency decisionsc) Committee heads may ask to be consulted
2. Legislative committees are important when . . .
a) A law is first passedb) An agency is first createdc) An agency is subject to annual authorization
3. Informal congressional controls over agenciesa) Individual members of Congress can seek privileges
for constituentsb) Congressional committees may seek clearance, the
right to pass on certain agency decisionsc) Committee heads may ask to be consulted
Congressional OversightCongressional Oversight
C. The Legislative Veto1. Declared unconstitutional by Supreme
Court in Chadha (1983)2. Weakens traditional legislative
oversight but Congress continues creating such vetoes
D. Congressional Investigations 1. Power inferred from the congressional
power to legislate2. Means for checking agency discretion3. Means for limiting presidential control
C. The Legislative Veto1. Declared unconstitutional by Supreme
Court in Chadha (1983)2. Weakens traditional legislative
oversight but Congress continues creating such vetoes
D. Congressional Investigations 1. Power inferred from the congressional
power to legislate2. Means for checking agency discretion3. Means for limiting presidential control
Bureaucratic “Pathologies”Bureaucratic “Pathologies”
Five major complaints about bureaucracy:1. Red tape- complex and sometimes conflicting
rules2. Conflict- agencies work at cross-purposes3. Duplication- two or more agencies seem to do
the same thing4. Imperialism- tendency of agencies to grow,
irrespective of programs’ benefits and costs5. Waste- spending more than is necessary to buy
some product or service
Five major complaints about bureaucracy:1. Red tape- complex and sometimes conflicting
rules2. Conflict- agencies work at cross-purposes3. Duplication- two or more agencies seem to do
the same thing4. Imperialism- tendency of agencies to grow,
irrespective of programs’ benefits and costs5. Waste- spending more than is necessary to buy
some product or service
Reforming the BureaucracyReforming the BureaucracyA. Numerous attempts to make the
bureaucracy work better for less money1. Eleven reform attempts in the 1900s2. National Performance Review (NPR) in 1993
designed to reinvent government a) Differs from previous reforms that sought to
increase presidential controlb) Emphasizes customer satisfaction by bringing
citizens in contact with agencies
3. NPR calls for innovation and quality consciousness bya) Less centralized managementb) More employee initiativesc) Fewer detailed rules, more customer satisfaction
A. Numerous attempts to make the bureaucracy work better for less money
1. Eleven reform attempts in the 1900s2. National Performance Review (NPR) in 1993
designed to reinvent government a) Differs from previous reforms that sought to
increase presidential controlb) Emphasizes customer satisfaction by bringing
citizens in contact with agencies
3. NPR calls for innovation and quality consciousness bya) Less centralized managementb) More employee initiativesc) Fewer detailed rules, more customer satisfaction
Reforming the Bureaucracy Reforming the Bureaucracy
B. Bureaucratic reform is always difficult to accomplish
1. Most rules and red tape are due to struggles between president and Congress or to agencies’ efforts to avoid alienating voters
2. This struggle makes bureaucrats nervous about irritating each other
3. Periods of divided government worsen matters, especially in implementing policya) Presidents of one party seek to increase political control
(executive micromanagement)b) Congresses of another party respond by increasing
investigation and rules (legislative micromanagement)
B. Bureaucratic reform is always difficult to accomplish
1. Most rules and red tape are due to struggles between president and Congress or to agencies’ efforts to avoid alienating voters
2. This struggle makes bureaucrats nervous about irritating each other
3. Periods of divided government worsen matters, especially in implementing policya) Presidents of one party seek to increase political control
(executive micromanagement)b) Congresses of another party respond by increasing
investigation and rules (legislative micromanagement)