the federal bureaucracy chapter 15 government in america: people, politics, and policy thirteenth...

The Federal The Federal BureaucracyBureaucracy

Chapter 15Chapter 15

Government in America: People, Politics, and PolicyThirteenth AP* Edition

Edwards/Wattenberg/Lineberry

WEBERIAN MODEL OF WEBERIAN MODEL OF BUREAUCRACIESBUREAUCRACIES

Classic conception of bureaucracy (Max Classic conception of bureaucracy (Max Weber)—a hierarchical authority structure Weber)—a hierarchical authority structure that use task specialization, operates on that use task specialization, operates on the merit principle, and behaves with the merit principle, and behaves with impersonalityimpersonality

Bureaucracies govern modern states.Bureaucracies govern modern states.

The BureaucratsThe Bureaucrats

Some Bureaucratic Myths and RealitiesSome Bureaucratic Myths and Realities Americans dislike bureaucrats.Americans dislike bureaucrats.

• Americans are generally satisfied with bureaucrats.Americans are generally satisfied with bureaucrats. Bureaucracies are growing bigger each year.Bureaucracies are growing bigger each year.

• Not in the federal bureaucracyNot in the federal bureaucracy Most federal bureaucrats work in Washington, D.C.Most federal bureaucrats work in Washington, D.C.

• Only about 12 percent doOnly about 12 percent do Bureaucracies are ineffective, inefficient, and always Bureaucracies are ineffective, inefficient, and always

mired in red tape.mired in red tape.• No more so than private businessesNo more so than private businesses

PRESIDENT OBAMA’S CABINETPRESIDENT OBAMA’S CABINET

www.whitehouse.gov


Bureaucrats possess crucial information Bureaucrats possess crucial information and expertise.and expertise.

Bureaucrats perform most of the vital Bureaucrats perform most of the vital services provided by the federal services provided by the federal government.government.

Bureaucrat performance is usually Bureaucrat performance is usually noncontroversial and acceptable.noncontroversial and acceptable.

The BureaucratThe Bureaucrat


Who They Are and How They Got ThereWho They Are and How They Got There Most demographically representative part of Most demographically representative part of

governmentgovernment Diversity of jobs mirrors the private sectorDiversity of jobs mirrors the private sector


Who They Are and How They Got ThereWho They Are and How They Got There Civil ServiceCivil Service: From Patronage to Protection: From Patronage to Protection

• PatronagePatronage: job given for political reasons : job given for political reasons • Spoils SystemSpoils System: jobs given as rewards for loyalty.: jobs given as rewards for loyalty.• Assassination of GarfieldAssassination of Garfield• Civil ServiceCivil Service: system of hiring and promotion based on merit : system of hiring and promotion based on merit

and nonpartisanship, created by the Pendleton Civil Service and nonpartisanship, created by the Pendleton Civil Service Act (1883)Act (1883)

• Merit PrincipleMerit Principle: entrance exams and promotion ratings to find : entrance exams and promotion ratings to find people with talent and skillpeople with talent and skill

• Hatch ActHatch Act: prohibits government employees from active : prohibits government employees from active participation in partisan politicsparticipation in partisan politics

CIVIL SERVICE REFORMCIVIL SERVICE REFORM

NEW CIVIL SERVICENEW CIVIL SERVICE


Who They Are and How They Got ThereWho They Are and How They Got There Civil ServiceCivil Service: From Patronage to Protection: From Patronage to Protection

• Office of Personnel Management: the federal office in Office of Personnel Management: the federal office in charge of most of the government’s hiringcharge of most of the government’s hiring

• Rule of ThreeRule of Three: three finalists are interviewed for the job.: three finalists are interviewed for the job.

• General Schedule General Schedule (GS) rating: a schedule for federal (GS) rating: a schedule for federal employees ranging from GS 1 to 18, by which salaries employees ranging from GS 1 to 18, by which salaries can be keyed to rating and experiencecan be keyed to rating and experience

• Senior Executive ServiceSenior Executive Service: an elite cadre of about 9,000 : an elite cadre of about 9,000 federal government managers established by the Civil federal government managers established by the Civil Service Reform Act of 1978; mostly career officialsService Reform Act of 1978; mostly career officials


Who They Are and How They Got ThereWho They Are and How They Got There The Other Route to Federal Jobs: Recruiting The Other Route to Federal Jobs: Recruiting

from the from the Plum BookPlum Book• Lists the very top jobs available for Presidential Lists the very top jobs available for Presidential

appointmentappointment• Presidents work to find capable people to fill the Presidents work to find capable people to fill the

positions.positions.• Some plum jobs (ambassadorships) are Some plum jobs (ambassadorships) are

patronage.patronage.• Their most important trait is transience.Their most important trait is transience.

How Bureaucracies Are How Bureaucracies Are OrganizedOrganized

The Cabinet DepartmentsThe Cabinet Departments 15 Cabinet departments headed by a secretary15 Cabinet departments headed by a secretary Department of Justice headed by Attorney GeneralDepartment of Justice headed by Attorney General Each has its own budget, staff and policy areasEach has its own budget, staff and policy areas Status as a cabinet department can be controversialStatus as a cabinet department can be controversial

• Republicans have tried to disband Departments of Republicans have tried to disband Departments of Education, Energy, and CommerceEducation, Energy, and Commerce

How Bureaucracies Are OrganizedHow Bureaucracies Are Organized


The Independent Regulatory AgenciesThe Independent Regulatory Agencies Independent Regulatory AgencyIndependent Regulatory Agency: responsible : responsible

for some sector of the economy making rules for some sector of the economy making rules and judging disputes to protect the public and judging disputes to protect the public interestinterest• Federal Communications Commission (FCC)Federal Communications Commission (FCC)• Federal Trade Commission (FTC)Federal Trade Commission (FTC)• Securities and Exchange Commission (SEC)Securities and Exchange Commission (SEC)


The Independent Regulatory AgenciesThe Independent Regulatory Agencies Headed by a commission of 5-10 peopleHeaded by a commission of 5-10 people Rule making is an important function watched Rule making is an important function watched

by interest groups and citizens alikeby interest groups and citizens alike Concern over “capture” of the agenciesConcern over “capture” of the agencies

• Agencies act on behalf of the industry they are Agencies act on behalf of the industry they are supposed to regulate, not the public interestsupposed to regulate, not the public interest


The Government CorporationsThe Government Corporations Business like–provide services like private Business like–provide services like private

companies and typically charge for themcompanies and typically charge for them• Postal Service, Amtrak, TVA, FDICPostal Service, Amtrak, TVA, FDIC

Independent Executive AgenciesIndependent Executive Agencies The agencies that don’t fit in anywhere elseThe agencies that don’t fit in anywhere else General Services Administration (GSA)General Services Administration (GSA) NASA, General Services Adm., National NASA, General Services Adm., National

Science FoundationScience Foundation

Bureaucracies as ImplementersBureaucracies as Implementers

What Implementation MeansWhat Implementation Means It involves translating the goals and objectives It involves translating the goals and objectives

of a policy into an operating, ongoing programof a policy into an operating, ongoing program Stage of policymaking that takes place Stage of policymaking that takes place

between establishment and consequences of between establishment and consequences of a policya policy

Three Elements of Implementation: Three Elements of Implementation: • Creating and assigning an agency the policyCreating and assigning an agency the policy• Translating policy into rules, regulations and formsTranslating policy into rules, regulations and forms• Coordinating resources to achieve the goalsCoordinating resources to achieve the goals


Why the Best-Laid Plans Sometimes Flunk Why the Best-Laid Plans Sometimes Flunk the Implementation Testthe Implementation Test Program Design in theoretical conceptionProgram Design in theoretical conception Lack of ClarityLack of Clarity

• Congressional laws are ambiguous and imprecise.Congressional laws are ambiguous and imprecise.• Sometimes the laws conflict with each other.Sometimes the laws conflict with each other.

Lack of ResourcesLack of Resources• Agencies may be big, but may not have staff to Agencies may be big, but may not have staff to

carry out policy goals.carry out policy goals.


Why the Best-Laid Plans Sometimes Why the Best-Laid Plans Sometimes Flunk the Implementation TestFlunk the Implementation Test Lack of Resources (continued)Lack of Resources (continued)

• Many different types of resources are needed: Many different types of resources are needed: personnel, training, supplies & equipmentpersonnel, training, supplies & equipment

• May also lack the authority to actMay also lack the authority to act Administrative RoutineAdministrative Routine

• Standard Operating Procedures (SOPs) bring Standard Operating Procedures (SOPs) bring uniformity to complex organizations.uniformity to complex organizations.

• It is often difficult to change the routines.It is often difficult to change the routines.


Why the Best-Laid Plans Sometimes Flunk Why the Best-Laid Plans Sometimes Flunk the Implementation Testthe Implementation Test Administrator’s DispositionsAdministrator’s Dispositions

• Administrative discretion is the authority to select among Administrative discretion is the authority to select among various responses.various responses.

• Street-level bureaucrats have the most discretion.Street-level bureaucrats have the most discretion.• Discretion is greatest where SOPs are not prevalent.Discretion is greatest where SOPs are not prevalent.

FragmentationFragmentation• Some policies are spread among several agencies.Some policies are spread among several agencies.• Some agencies have different rules for the same policy.Some agencies have different rules for the same policy.


A Case Study: The Voting Rights Act of A Case Study: The Voting Rights Act of 19651965 Generally considered a successGenerally considered a success Had a clear, concise goalHad a clear, concise goal The implementation was clearThe implementation was clear Those carrying out the law had obvious Those carrying out the law had obvious

authority and vigor to do so.authority and vigor to do so.

Bureaucracies as RegulatorsBureaucracies as Regulators

Regulation in the Economy and in Regulation in the Economy and in Everyday LifeEveryday Life Regulation:Regulation: use of governmental authority to use of governmental authority to

control or change some practice in the private control or change some practice in the private sectorsector

A Full Day of RegulationA Full Day of Regulation• Federal agencies check, verify, and inspect many Federal agencies check, verify, and inspect many

of the products and services we take for granted.of the products and services we take for granted.• Federal and state agencies provide many services.Federal and state agencies provide many services.


Regulation: How It Grew, How It WorksRegulation: How It Grew, How It Works All regulation contains these elements:All regulation contains these elements:

• A grant of power and set of directions from A grant of power and set of directions from CongressCongress

• A set of rules and guidelines by the regulatory A set of rules and guidelines by the regulatory agency itselfagency itself

• Some means of enforcing compliance with Some means of enforcing compliance with congressional goals and agency regulationscongressional goals and agency regulations

SCOTUSSCOTUS

MUNN V. ILLINOIS (1877)MUNN V. ILLINOIS (1877) The Supreme Court upheld the right of the The Supreme Court upheld the right of the

government to regulate the business government to regulate the business operations of a firm.operations of a firm.

Interstate Commerce Commission created to Interstate Commerce Commission created to regulate the railroads, prices and their regulate the railroads, prices and their services to farmers.services to farmers.


Regulation: How It Grew, How It WorksRegulation: How It Grew, How It Works Command-and-Control PolicyCommand-and-Control Policy: The : The

government tells business how to reach government tells business how to reach certain goals, checks the progress, and certain goals, checks the progress, and punishes offenders.punishes offenders.

Incentive SystemIncentive System: market-like strategies used : market-like strategies used to manage public policyto manage public policy

Some agencies are proactive; some are Some agencies are proactive; some are reactive.reactive.


Toward DeregulationToward Deregulation Deregulation:Deregulation: the lifting of restrictions on the lifting of restrictions on

business, industry, and professional activitiesbusiness, industry, and professional activities Regulatory problems:Regulatory problems:

• Raises pricesRaises prices• Hurts U.S.’s competitive position abroadHurts U.S.’s competitive position abroad• Does not always work wellDoes not always work well

But some argue regulation is neededBut some argue regulation is needed

Understanding BureaucraciesUnderstanding Bureaucracies

Bureaucracy and DemocracyBureaucracy and Democracy Presidents Try to Control the BureaucracyPresidents Try to Control the Bureaucracy

• Appoint the right peopleAppoint the right people• Issue executive ordersIssue executive orders

Carry force of law and are used to implement policiesCarry force of law and are used to implement policies

• Alter an agency’s budgetAlter an agency’s budget• Reorganize an agencyReorganize an agency

Creation of Department of Homeland SecurityCreation of Department of Homeland Security


Bureaucracy and DemocracyBureaucracy and Democracy Congress Tries to Control the BureaucracyCongress Tries to Control the Bureaucracy

• Influence appointment of agency headsInfluence appointment of agency heads Senate confirms presidential nomineesSenate confirms presidential nominees

• Alter an agency’s budgetAlter an agency’s budget• Hold oversight hearingsHold oversight hearings• Rewrite legislation or make it more detailedRewrite legislation or make it more detailed


Bureaucracy and DemocracyBureaucracy and Democracy Iron Triangles and Issue NetworksIron Triangles and Issue Networks

• Iron Triangles: a mutually dependent relationship Iron Triangles: a mutually dependent relationship between bureaucratic agencies, interest groups, between bureaucratic agencies, interest groups, and congressional committees or subcommitteesand congressional committees or subcommittees

• Exist independently of each otherExist independently of each other• They are tough, but not impossible, to get rid ofThey are tough, but not impossible, to get rid of• Some argue they are being replaced by wider Some argue they are being replaced by wider

issue networksissue networks that focus on more than one policy. that focus on more than one policy.

IRON TRIANGLES AKA IRON TRIANGLES AKA SUBGOVERNMENTSSUBGOVERNMENTS

YOU MUST UNDERSTAND “IRON YOU MUST UNDERSTAND “IRON TRIANGLES” AKA TRIANGLES” AKA “SUBGOVERNMENTS”“SUBGOVERNMENTS”

SEE NEXT SLIDE. SEE NEXT SLIDE. ASK QUESTIONS IF YOU DO NOT ASK QUESTIONS IF YOU DO NOT

UNDERSTAND!!!!!!!!!!!!UNDERSTAND!!!!!!!!!!!!


Bureaucracy and the Scope of GovernmentBureaucracy and the Scope of Government The size of federal bureaucracy is an example of a The size of federal bureaucracy is an example of a

government out of control.government out of control. Even though the size of the bureaucracy has shrunkEven though the size of the bureaucracy has shrunk Some agencies don’t have enough resources to do Some agencies don’t have enough resources to do

what they are expected to do.what they are expected to do. Bureaucracy only carries out policies; Congress and Bureaucracy only carries out policies; Congress and

the president decide what needs to be done.the president decide what needs to be done.

SummarySummary

Bureaucrats shape policy as Bureaucrats shape policy as administrators, implementers, and administrators, implementers, and regulators.regulators.

Bureaucracy’s primary responsibility is the Bureaucracy’s primary responsibility is the implementation of public policy.implementation of public policy.

Federal bureaucracy has not grown but Federal bureaucracy has not grown but has in fact shrunk of late.has in fact shrunk of late.

the federal bureaucracy chapter 15 government in america: people, politics, and policy thirteenth...

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