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Chapter 15 The Bureaucracy AP United States Government and Politics

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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)