UNIT 10UNIT 10

The BureaucracyThe Bureaucracy

The “4th Branch” of GovernmentThe “4th Branch” of Government

I. WHAT EXACTLY IS THE I. WHAT EXACTLY IS THE

“BUREAUCRACY” ?“BUREAUCRACY” ?

The large and The large and complex organization complex organization of all of all UNELECTEDUNELECTED (hired & appointed) (hired & appointed) officials of the officials of the Executive branch who Executive branch who are charged with are charged with running the day-to-day running the day-to-day operations of gov’t.operations of gov’t.

A. A. Bureaucracy’s SizeBureaucracy’s Size • Total number: 2.9 million people Total number: 2.9 million people

(30% of these work for DoD (30% of these work for DoD alonealone

- 1.4 million people serve in the - 1.4 million people serve in the military but are not considered military but are not considered to be bureaucrats.to be bureaucrats.

The Bureaucracy’s Size The Bureaucracy’s Size (cont)(cont)• The federal workforce composes about 2% of The federal workforce composes about 2% of

the total U.S. workforce.the total U.S. workforce.• The size of the civilian bureaucracy The size of the civilian bureaucracy shrank as a shrank as a

% of the population from the 1970’s to 2002% of the population from the 1970’s to 2002, , but grew again under Bush Jr. (homeland but grew again under Bush Jr. (homeland security reasons) and Obama (domestic issue security reasons) and Obama (domestic issue reasons) reasons)

- 1970 U.S. population was 240 million- 1970 U.S. population was 240 million Bureaucracy size: 2.8 million = 1.2% of populationBureaucracy size: 2.8 million = 1.2% of population - 1990 U.S. population was 281 million - 1990 U.S. population was 281 million Bureaucracy size: 2.4 million = .85% Bureaucracy size: 2.4 million = .85%

- 2012 population was 310 million - 2012 population was 310 million Bureaucracy size: 2.9 million = .94% of populationBureaucracy size: 2.9 million = .94% of population

II.II. Bureaucratic Bureaucratic AdministrationAdministration

TheThe Bureaucracy is Bureaucracy is HierarchicalHierarchical

A. Organized hierarchically around 15 executive departments that make up the Cabinet. Each is headed by a Secretary (DOJ has an Attorney General) who manage specific policy areas.

1. Each dept has an Assistant Secretary as well as numerous Deputy and Under Secretaries who head up major divisions within the departments. They are supported by thousands of high & mid-level managers within those divisions.

2. Bureaucratic UnitsBureaucratic Units

The bureaucracy is also composed of 50+ independent The bureaucracy is also composed of 50+ independent agencies and over 2,000 other administrative units based agencies and over 2,000 other administrative units based on mission or clientele served:on mission or clientele served:

- services- services (U.S. Secret Service)(U.S. Secret Service)

- offices- offices (Office of Management and Budget) (Office of Management and Budget)

- administrations- administrations (Social Security Administration) (Social Security Administration)

- bureaus- bureaus (Bureau of Indian Affairs; FBI)(Bureau of Indian Affairs; FBI)

- agencies- agencies (NASA; FEMA)(NASA; FEMA)

- boards- boards (National Labor Relations Board)(National Labor Relations Board)

- commissions- commissions (Federal Trade Commission; ICC)(Federal Trade Commission; ICC)

B.B. Cabinet: The Primary Cabinet: The Primary BureaucracyBureaucracy

• Allowed by the Allowed by the Constitution; Constitution; created by Congress created by Congress and expanded over and expanded over time at presidents’ time at presidents’ request.request.

• Serves as a Serves as a “sounding board” in “sounding board” in various policy areas various policy areas to advance the to advance the president’s president’s ideological agenda.ideological agenda.

C. Cabinet CompositionC. Cabinet Composition

- Members are appointed based on experience, diversity, or patronage (close friends, political donor, loyal party member)

- Not all cabinet officers or other appointed bureaucrats are experts in their dep’t…

they must rely on career bureaucrats for advice and knowledge.

D. D. Bureaucrats are “turf” orientedBureaucrats are “turf” oriented

What is “turf”? How is it applied?What is “turf”? How is it applied? Try to increase their own agency’s budget at Try to increase their own agency’s budget at

the expense of the others.the expense of the others. Promote own organization’s prestige and Promote own organization’s prestige and

roles by pushing high visibility programs. roles by pushing high visibility programs. Resist change and outsider interference.Resist change and outsider interference.

- Their loyalty is often split between their departments and the President!

- Politicians use the bureaucracy as a - Politicians use the bureaucracy as a “scapegoat” to assign blame for public “scapegoat” to assign blame for public policy failures or cost overruns (it may just policy failures or cost overruns (it may just be bad law).be bad law).

E.E. Government Government CorporationsCorporations• Entities that are a cross between a government cross between a government

agency and a private business.agency and a private business. They provide a service that could be done by the private sectorprivate sector, but are better left to the government to do.

• They are supposedly They are supposedly self-supportingself-supporting in that in that they are expected to they are expected to make money to run make money to run their operations from their operations from the services they the services they provide to the public. provide to the public. The U.S. Postal Service The U.S. Postal Service is the largest one.is the largest one.

Other Government Corporations Corporation for Public Corporation for Public

Broadcasting (CPB)Broadcasting (CPB)

Federal Deposit Federal Deposit Insurance Corp. Insurance Corp. (FDIC)(FDIC)

Tennessee Valley Tennessee Valley Authority (TVA)Authority (TVA)

Amtrak (passenger Amtrak (passenger train service)train service)

Joe and Delores Delgado of Dallas, Texas wrote Vice President Al Gore about their concerns that Amtrak consolidation was wiping out the Texas Eagle (train service), in their area. Mr. Gore was very sympathetic in his reply letter….“I share your view that the urgent problem of species extinction and the conservation of biological diversity should be addressed.” -- In the Loop, 12/6/96

You idiot!

Hey Al, Joe Biden called and wants you on his team right now! Bring your shotgun.

F.F. Independent Regulatory Independent Regulatory Agencies/CommissionsAgencies/Commissions

Bureaucratic organizations Bureaucratic organizations that are independent of that are independent of executive departments and executive departments and have broad “watchdog” have broad “watchdog” powers topowers to enforce laws and enforce laws and punish violatorspunish violators within the within the U.S. economy or society.U.S. economy or society.

- Examples: EPA, SEC, FAA, - Examples: EPA, SEC, FAA, FDA, FCC, OSHAFDA, FCC, OSHA

1. 1. The president has little The president has little control over them however, control over them however, Congress has more control Congress has more control via its oversight role and law-via its oversight role and law-making.making.

Independent Agencies Independent Agencies (cont’d)(cont’d)

2. 2. In the U.S. model, the gov’t In the U.S. model, the gov’t regulates privately owned regulates privately owned enterprises, rather than enterprises, rather than operates publicly owned ones.operates publicly owned ones.

3. Each independent agency or 3. Each independent agency or commission is run by a commission is run by a chairman with a Board of chairman with a Board of Commissioners.Commissioners.

- President appoints Board - President appoints Board members and Senate confirms members and Senate confirms them.them.

- Terms of office vary (3-14 - Terms of office vary (3-14 yrs) yrs)

- Terms overlap congressional - Terms overlap congressional and presidential terms to and presidential terms to protect against undue influence protect against undue influence and political firings.and political firings.

G. The Civil Service

The Civil Service establishes the qualifications by which most career bureaucrats enter and are promoted within the bureaucracy.

- Makes lists of job openings - Hires and promotes on

competitive merit. - Investigates corruption, incompe-

tence, and “whistle-blowing”. Created in 1883 by the Pendleton

Act to rid the gov’t from office seekers using patronage & favoritism to get jobs.

- What caused this change?

G. The Armed Forces

• The Sec’y of Defense oversees The Sec’y of Defense oversees the military bureaucracy day-the military bureaucracy day-to-day and reports directly to to-day and reports directly to POTUS as C-in-CPOTUS as C-in-C

- Top levels of military control - Top levels of military control are in the hands of civilians.are in the hands of civilians.

• Military policy is developed Military policy is developed jointly by the military and its jointly by the military and its civilian leaders.civilian leaders.

• Each military branch has its Each military branch has its own civilian own civilian service secretaryservice secretary (e.g. Sec’y of the Navy) who (e.g. Sec’y of the Navy) who reports directly to the Sec’y of reports directly to the Sec’y of Defense.Defense.

Each military service has a senior uniformed officer called a service chief and a Chairman who make up the Joint Chiefs of StaffJoint Chiefs of Staff who reports to

the Sec’y of Def.

Chairman

Army

Air Force

Navy

Marine Corps

III. Law and Policy III. Law and Policy Implementation Implementation

“I’m just a bill!”

I’m just a bill, but wait until

you see how I’m implemented!

A. Bureaucrats work in a A. Bureaucrats work in a conflicting environment … conflicting environment …

1. Even though they work for the Executive branch, bureaucrats can interpret the intent of Congressional laws (discretionary authority) and write the necessary rules and regulations to put those laws into effect (implementation).

• All the above is commonly referred to as: “quasi-legislative” power.

3. Implementation Is Difficult

Those who are to be controlled often oppose regulation (e.g. oil companies, cigarette companies, auto manufacturers, unions) and make excuses as to why they can’t comply with regulations imposed on them.

Special interest groups try to weaken implementation by lobbying Congress.

Resulting conflict can destroy policy effectiveness through legislative loopholes favorable to such groups (over 1,400 exemptions to OBAMACARE given to date!)

4.4. ”Quasi-Judicial” ”Quasi-Judicial” PowersPowers

• Independent regulatory agencies are Independent regulatory agencies are often given the power to punish (fine, jail, often given the power to punish (fine, jail, or shut down) those who break the laws.or shut down) those who break the laws.

• Those regulated or Those regulated or punished can appeal punished can appeal to the courts for relief to the courts for relief by suing to overturn by suing to overturn laws or trying to limit laws or trying to limit authority of authority of regulators.regulators.

5. Enforcement Aggressive enforcement,

when supported by the President or Congress, can be effective in making the laws work by punishing violators.

But, a lack of significant enforcement, or weakened requirements, will often result in non-compliance by those regulated.

6.6. INCREMENTALISMINCREMENTALISM

Bureaucrats and Congress are often forced Bureaucrats and Congress are often forced by changing circumstances, public opinion, or by changing circumstances, public opinion, or politics to modify laws rather than make politics to modify laws rather than make wholesale departures from them (e.g. Gun wholesale departures from them (e.g. Gun control; ObamaCare). control; ObamaCare).

This leads to policy-making characterized by This leads to policy-making characterized by a series of decisions, each instituting modest a series of decisions, each instituting modest change, bit by bit and step by step, over time.change, bit by bit and step by step, over time.

B. B. Presidential ControlsPresidential Controls

• President is head of bureaucracy in his role as Chief Executive. But, he often has LESS control over it than Congress does under this system of divided supervisiondivided supervision (two masters!).

• Bureaucracies are permanent, presidents are temporary.

Two, 4-year Two, 4-year termsterms

Unlimited Unlimited serviceservice

Presidential Controls Presidential Controls

Appointment and promotion:Appointment and promotion: President can fire President can fire most political appointees or civil service bureaucratsmost political appointees or civil service bureaucrats

Executive orders:Executive orders: to force compliance with policyto force compliance with policy

Exercise economic powers: Exercise economic powers: alter department and alter department and agency budgets,agency budgets, but Congress does the actual but Congress does the actual appropriatingappropriating

Reorganize the bureaucracy:Reorganize the bureaucracy: creation of new creation of new agencies, deletion of old ones, combining missions agencies, deletion of old ones, combining missions (e.g. Homeland Security Dept creation required other (e.g. Homeland Security Dept creation required other executive departments to give up “turf”, $, and people)executive departments to give up “turf”, $, and people)

Congressional ControlsCongressional Controls

• Change jurisdictionChange jurisdiction of agenciesof agencies• Alter budgetsAlter budgets of agencies and of agencies and

departmentsdepartments• Deny presidential appointmentsDeny presidential appointments to to

bureaucratic posts bureaucratic posts • OVERSIGHT!OVERSIGHT! Compel agencies to

interpret and apply laws as Congress intended by holding hearings, investigating bureaucratic failures, rewriting legislation.

Congressional Controls (cont’d)

• Committee ClearanceCommittee Clearance The ability of ccongressional committees to review and approve agency decisions in advance without the need to change previous laws or pass additional laws.

IVIV..

A. An alliance of mid-level bureaucrats, outside interest groups, and members of congressional committees formed to promote common causes.

• GoalGoal: Create or change laws that may be seen as outdated, unfair, or prohibitive to business or government policies (client politics).

How to Build an Iron TriangleHow to Build an Iron Triangle

ISSUE NETWORKSISSUE NETWORKS

• Networks of interest Networks of interest groups, media groups, media outlets, academic outlets, academic institutions, institutions, congressional staff congressional staff members, and private members, and private think tanksthink tanks that meet that meet to advocate public to advocate public policies.policies.

• Unlike iron triangles, issue networks are ideologically driven vs. interest driven.

V. REFORMING THE BUREACRACYV. REFORMING THE BUREACRACY

PrivatizationPrivatization

1. The government 1. The government outsources federal outsources federal programsprograms through bidding to a private through bidding to a private company to administer those programs company to administer those programs (e.g. running federal prisons, military food (e.g. running federal prisons, military food services, public housing, building security, services, public housing, building security, etc). etc).

2. Purpose: 2. Purpose: toto encourage competition and encourage competition and job creation in the private business job creation in the private business sector while reducing costssector while reducing costs to the to the government. government.

3.3. It’s controversial It’s controversial because…because…

• The motivation for the private sector is PROFITPROFIT! •The bureaucracy isn’t supposed to run government services for a profit unless it’s a government corp.

B. DEREGULATIONB. DEREGULATION

Reducing or ending gov’t regulations on businesses by allowing the market place to police itself as to behavior and prices.

- Those in favor believe freedom in the market place is best way to achieve economic growth.

- Those opposed see deregulation as a failure of government to protect consumers and society.

C. C. Hatch Act (1939)Hatch Act (1939)

► Enacted to ensure the political political neutrality neutrality of civil service employees in carrying out laws and policy.

► PROHIBITED BUREAUCRATS FROM:: running for officerunning for office making political speechesmaking political speeches managing political campaignsmanaging political campaigns using their office to affect election using their office to affect election

outcomesoutcomes forcing subordinates to give campaign forcing subordinates to give campaign

contributions contributions

D. Revised Hatch Act D. Revised Hatch Act (1993)(1993)

Upheld a bureaucrat’s right to:Upheld a bureaucrat’s right to: votevote assist in voter registrationassist in voter registration make make voluntaryvoluntary campaign campaign

contributionscontributions join political partiesjoin political parties display partisan advertising display partisan advertising campaign for policy changes, laws, campaign for policy changes, laws,

etc.etc.

E.E. Other Bureaucracy Reforms Other Bureaucracy Reforms

1. Government Performance and Results Act (2002): - Requires each agency to annually - Requires each agency to annually

identify goals, adopt a performance identify goals, adopt a performance plan, and have a system in place to plan, and have a system in place to measure performance in meeting its in meeting its goals & objectives.goals & objectives.

- Marginally effective in creating better - Marginally effective in creating better management techniques.management techniques.

2.2. CIVIL SERVICE REFORM ACT (1978)CIVIL SERVICE REFORM ACT (1978)

Restructured the Civil Service top downRestructured the Civil Service top down Lower management levels allowed to Lower management levels allowed to make and implement policy decisions make and implement policy decisions

Bonuses for meritorious performances.Bonuses for meritorious performances. Easier to hire, fire and reassign people Easier to hire, fire and reassign people Enacted “whistleblower” protections Enacted “whistleblower” protections Created Created Senior Executive ServiceSenior Executive Service (SES) (SES) which rotated career senior managers which rotated career senior managers between agencies to bring in “new blood” between agencies to bring in “new blood” with new ideas.with new ideas.

3. 3. National Performance ReviewNational Performance Review

Carried out during Clinton’s first Carried out during Clinton’s first term in 1993-95; overseen by term in 1993-95; overseen by “Mr. Global Warming”, Al Gore, “Mr. Global Warming”, Al Gore, Clinton’s V.P.Clinton’s V.P.

Among Washington insiders, Among Washington insiders, NPR was derisively referred to as NPR was derisively referred to as “Reinventing Government”.

Bureaucracy was seen to be too Bureaucracy was seen to be too centralized, turf-oriented, and centralized, turf-oriented, and rule-bound, and not caring about rule-bound, and not caring about program results or their effects. program results or their effects.

N P R ResultsN P R Results Emphasized Emphasized “customer satisfaction” within the within the

bureaucratic system and rewarded employee bureaucratic system and rewarded employee initiative.initiative. - Eliminated many restrictive rules, practices and - Eliminated many restrictive rules, practices and

excessive paperworkexcessive paperwork Less centralized management

- Better purchasing practices initiated- Better purchasing practices initiated - Reduce duplication & waste among agencies- Reduce duplication & waste among agencies - Made it easier to fire a bureaucrat- Made it easier to fire a bureaucrat RESULT:RESULT: Marginal change as bureaucrats as bureaucrats

resisted turf changes and burrowed further into resisted turf changes and burrowed further into their rules & regulations. their rules & regulations. WGOF!

4.4. Reducing Reducing “Red Tape”“Red Tape”• Red tapeRed tape is the system is the system

of complex rules and regs of complex rules and regs that must be followed to that must be followed to get the bureaucracy to get the bureaucracy to act quickly on an issue or act quickly on an issue or problem.problem.

• Often involves Often involves endless endless paperwork, clearances, or paperwork, clearances, or long drawn out long drawn out procedures and decision-procedures and decision-makingmaking that overwhelms that overwhelms citizens or businesses citizens or businesses trying to get anything trying to get anything done with gov’t.done with gov’t.

END OF UNIT 10END OF UNIT 10