Bureaucracy

The Nature of the Bureaucracy Bureaucracy: 4 th branch Bureaucracy: 4 th branch All similar characteristics -- All similar characteristics -- –Structured hierarchically –job specialization – rules and regs that drive them –Make and run govt policies –Workers hired not elected

Theories of Bureaucracy Weberian Model Max Weber Max Weber –Need bureaucracies (they are inevitable) due to complexities of modern life and many roles government has to play in citizens’ lives –Bureaucracies are hierarchical – people at top direct people at lower levels –Specific rules determine how decisions are made –People who work in bureaucracy – bureaucrats – have special skills to solve problems –Advancement based on merit instead of political connection

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

Theories of Bureaucracy Monopolistic Model No competition – so are inefficient/wasteful/slow No competition – so are inefficient/wasteful/slow

The Size of the Bureaucracy –Today the federal government employs about 2.7 million (4 million total including military) –The two biggest employers of civilians are the U.S. Postal Service (almost 800,000) and the Department of Defense (more than 650,000) – 4s 4shttps:// 4s –President only appoints about 3% of the federal workforce, how much control do you think he has over the bureaucracy? –97% are career govt employees or civil servants –15 Cabinet Depts, 200+ agencies with branches

Functions of the Federal Bureaucracy Implementation – Implementation – –Carry out laws of Congress, executive orders of the President Administration Administration –Routine administrative work; provide services (ex. SSA sends social security checks to beneficiaries) Regulation Regulation –Issue rules and regulations that impact the public (ex. EPA sets clean air standards)

The Organization of the Federal Bureaucracy –Cabinet departments –Independent executive agencies –Independent regulatory agencies –Government corporations

Cabinet Departments 15 Cabinet Depts. 15 Cabinet Depts. Directly accountable to Pres, perform govt functions Directly accountable to Pres, perform govt functions Headed by cabinet secretary, (except Justice Dept, which is headed by AG) appointed by president and approved by Senate (divided govt) Headed by cabinet secretary, (except Justice Dept, which is headed by AG) appointed by president and approved by Senate (divided govt) Secr & AG are like CEO’s of their departments Secr & AG are like CEO’s of their departments Structure below top level is staffed by permanent employees, problems? Structure below top level is staffed by permanent employees, problems?

Independent Executive Agencies President appoints head of agency, consent of Senate President appoints head of agency, consent of Senate Agency reports directly to President Agency reports directly to President Not under Cabinet Not under Cabinet Generally perform service function, not regulatory (exception EPA) Generally perform service function, not regulatory (exception EPA) Examples: NASA, National Archives, CIA Examples: NASA, National Archives, CIA

Independent Executive Agencies

Independent Regulatory Agencies/Commissions Make rules and regulations for a specific area –Help where other 3 branches cannot legislate or oversee all the time, independent from all 3 branches, meant to create, enforce and impose regs free of political influence called “commissions” – most have commission or board who share pwr over agency called “commissions” – most have commission or board who share pwr over agency

Independent Regulatory Agencies Congress not able to handle complexities required by certain areas of law Congress not able to handle complexities required by certain areas of law Regulates something Regulates something Make rules that have force of law (regs),enforce those rules (exec) and may impose fines or punishment (judicial) -- quasi-leg. & quasi- judicial Make rules that have force of law (regs),enforce those rules (exec) and may impose fines or punishment (judicial) -- quasi-leg. & quasi- judicial

Independent Regulatory Agencies Can be checked by courts Can be checked by courts IR operate independently from Pres & Congress (doesn’t report to pres) IR operate independently from Pres & Congress (doesn’t report to pres) Appointed by Pres with consent of Senate Appointed by Pres with consent of Senate Once appointed, members cannot be removed without cause (causes specified in law creating agency) Once appointed, members cannot be removed without cause (causes specified in law creating agency) CANNOT all be from same political party CANNOT all be from same political party

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

Independent Regulatory Agencies

Government Corporations Government agency that is involved in business Government agency that is involved in business –Charge for services –May be profitable Operate separately from government Operate separately from government Funded by government when can’t pay their bills Funded by government when can’t pay their bills Examples: AMTRAK and US Postal Service Examples: AMTRAK and US Postal Service

Selected Government Corporations

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 probably independent executive agency If answer to all 3 is no, then it’s probably independent executive agency

Department Homeland Security

Staffing the Bureaucracy 2 bureaucrats? 2 bureaucrats? –Political appointees & Civil Servants Political appointees Political appointees –Plum Book/ aristocracy of the federal government –Pros/Cons of positions? –The difficulty in firing civil servants Civil Servants Civil Servants –Relationships with appointees? –Difficulty firing, why? –Have advantage over pres & congress in policy making bc of continuity of service

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

History of Federal Civil Service Civil Service Reform Act 1883/Pendleton Act Civil Service Reform Act 1883/Pendleton Act –Limits on spoils system, established merit system –Merit system –hiring or promotion based on merit/experience qualifications –Hiring based on testing or some objective measure –Created Civil Service Commission

History of Federal Civil Service Civil Service Reform Act of 1978 – Civil Service Reform Act of 1978 – –created Office of Personnel Management  Recruits, interviews, hires –created Merit Systems Protection Board – oversees promotions, discipline

The Hatch Act-1939 Prohibited federal employees from actively participating in political managements of campaigns Prohibited federal employees from actively participating in political managements of campaigns Prohibited govt employees from active participation in partisan politics Prohibited govt employees from active participation in partisan politics

The Hatch Act -- amended Amended in part by Federal Employees Political Act a Amended in part by Federal Employees Political Act a Bureaucrats CAN: Bureaucrats CAN: –Vote and assist in voter registration –Contribute $$ to campaigns –Campaign off duty

The Hatch Act -- amended Amended in part by Federal Employees Political Act a Amended in part by Federal Employees Political Act a Bureaucrats CAN’T: Bureaucrats CAN’T: –Run for public office –Fund raise for politicians during work –Discourage political activity

Criticisms of Bureaucracy Red tape Red tape –Too many rigid procedures Inefficiency Inefficiency –Lack of incentive to be productive, no profit motive

Criticisms of Bureaucracy Undemocratic – not elected Undemocratic – not elected Duplication of Services Duplication of Services –Bureaucracy complicated –Agencies perform similar and sometimes same functions –Federalism – many services provided at state and local levels

Criticism of Bureuacracy Bureaucracy is Law Maker Bureaucracy is Law Maker –Regulations end up having effect of law, violate sep of pwrs Bureaucracy is too big Bureaucracy is too big –Privatization would be more effective – atch?v=kyrKXACpUFg atch?v=kyrKXACpUFghttps:// atch?v=kyrKXACpUFg

Criticism of Bureuacracy Bureaucracy is corrupt Bureaucracy is corrupt –Iron triangle – reveals relationship btwn exec branch, congress and private interest groups that can lead to decisions which benefit the private sector at expense of govt

Modern Attempts at Bureaucratic Reform –Sunshine laws: require agencies to conduct many sessions in public  The 1966 Freedom of Information Act: opened up government files to citizen requests for information, in particular about themselves  After 9/11, however, the government established a campaign to limit disclosure of any information that could conceivably be used by terrorists –Sunset laws: require Congressional review of existing programs to determine their effectiveness; if Congress does not explicitly reauthorize a program, it expires “sun sets”:

Modern Attempts at Bureaucratic Reform (continued) –Privatization – govt services replaced by services from private sector or voucher programs –Incentives for efficiency and productivity  Government Performance and Results Act of 1997  Some argue that bureaucratic inefficiencies are the result of the political decision-making process, some argue problems result bc of those who run organizations  Saving costs through e-government – some changes made, govt websites, more room for growth

Whistleblowers Whistleblower Whistleblower –Someone who brings to public attention gross governmental inefficiency or illegal action Examples? Examples?

Whistleblowers –Laws protecting whistleblowers?  Merit Systems Protection Board  Whistle-Blower Protection Act  False Claims Act – if whistleblower discloses fraud against govt can receive a monetary award or sue govt it govt declines to bring suit

Whistleblowers –Many don’t receive real protection –Obama used Espionage Act of 1917 to prosecute federal workers who leaked to press

Whistleblowers Examples wyork.com/news/lo cal/Madoff- Whistleblower- Markopolos-Slams- SEC-in-New-Book html wyork.com/news/lo cal/Madoff- Whistleblower- Markopolos-Slams- SEC-in-New-Book html wyork.com/news/lo cal/Madoff- Whistleblower- Markopolos-Slams- SEC-in-New-Book html wyork.com/news/lo cal/Madoff- Whistleblower- Markopolos-Slams- SEC-in-New-Book html

Bureaucrats as Politicians and Policy Makers Congress delegates pwr through enabling legislation Congress delegates pwr through enabling legislation In theory, agency should implement Congress’ laws, but agencies role to decide how laws should be implemented requires formation of admin rules In theory, agency should implement Congress’ laws, but agencies role to decide how laws should be implemented requires formation of admin rules Agencies make rules, enforce rules and adjudicate violations of rules, this violates what? Agencies make rules, enforce rules and adjudicate violations of rules, this violates what? –Sep of Pwrs Also means agency become unelected policymaker Also means agency become unelected policymaker

Bureaucrats as Policymakers –Rule making – interested parties have opportunity to comment on proposed regs and try to convince agency to redraft/change regs  Waiting periods – 60 days and can then enforced  If company would incur significant costs to comply, can challenge in courts –Negotiated rulemaking Act 1990 – purpose to avoid lawsuits, authorizes agencies to allow those effected by new rule to participate in rule drafting process  Once agreement is reached, can’t challenge in court

Why does Congress give fed agencies policy-making discretion? Congress lacks expertise/agencies have it Congress lacks expertise/agencies have it Less time consuming Less time consuming More efficient More efficient Easier for agency to come to agreement Easier for agency to come to agreement

Iron Triangles

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

Issue Networks Used by some instead of iron triangle to describes policymaking process Used by some instead of iron triangle to describes policymaking process Iron triangles – diff interest groups concerned about diff issues have conflicting demands Iron triangles – diff interest groups concerned about diff issues have conflicting demands Individuals, orgs that support a particular policy position on environment, taxation, consumer safety or some other issue Individuals, orgs that support a particular policy position on environment, taxation, consumer safety or some other issue Members of particular issue network work together to influence the president, members of Congress, admin agencies and courts to affect public policy on a specific issue Members of particular issue network work together to influence the president, members of Congress, admin agencies and courts to affect public policy on a specific issue

Iron Triangles Can improve efficiency Can improve efficiency Can cause decisions to be made which benefit interest group at expense of govt Can cause decisions to be made which benefit interest group at expense of govt

Iron Triangles Revolving door – govt industry revolving door puts industry-friendly experts in positions of decision-making pwr Revolving door – govt industry revolving door puts industry-friendly experts in positions of decision-making pwr Individuals often rotate btwn working for industry and govt, conflict of interest Individuals often rotate btwn working for industry and govt, conflict of interest

What factors lead to bureaucratic independence? The structure of bureaucracy promotes independence The structure of bureaucracy promotes independence –Size –specialization/expertise –Jobs under merit system/hard to fire certain employees –Independence of independent agencies and regulatory commissions Complexity of public policy problems Complexity of public policy problems –Delegated authority – Congress and president cannot handle everything –Discretionary authority – legislation vague, bur has pwr to fill in gaps –Bur have specialization and expertise

Checks -- Congressional Control of the Bureaucracy How does Congress check the bureaucracy and ensure agencies follow legislative intent? The ultimate control is in the hands of Congress How does Congress check the bureaucracy and ensure agencies follow legislative intent? The ultimate control is in the hands of Congress Congress controls the purse strings, can reward or punish with appropriations Congress controls the purse strings, can reward or punish with appropriations Create or abolish agencies & depts. Create or abolish agencies & depts. Oversight via investigations, hearings, and review (appear before Cong. Comms) Oversight via investigations, hearings, and review (appear before Cong. Comms) Govt Accountability Office Govt Accountability Office Can change laws Can change laws Can reject presidential appointments to bureaucracy Can reject presidential appointments to 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 Control Why does Congress fail? Congress does sometimes fail to exercise effective oversight – why? Congress does sometimes fail to exercise effective oversight – why? –Oversight labor intensive –Lack technical expertise –Iron triangles/cozy relationship with agencies –Interest groups/PACs may encourage members to overlook effective administration –Enabling legislation is vague – allowed agency too much discretion or power –Failure to “use” available pwrs or ineffective use of them – spanclassroom.org/Video/58/Michael+Brown+testifies+before+Congre ss.aspx spanclassroom.org/Video/58/Michael+Brown+testifies+before+Congre ss.aspxhttp:// spanclassroom.org/Video/58/Michael+Brown+testifies+before+Congre ss.aspx

Government Accountability Office -- GAO Congress’ watchdog Congress’ watchdog Designed to audit and review executive branch agencies Designed to audit and review executive branch agencies Part of legislative branch, headed by the Comptroller General (appointed by pres confirmed by Senate Part of legislative branch, headed by the Comptroller General (appointed by pres confirmed by Senate

Checks by the Courts Judicial review – can declare bureaucratic actions unconstitutional or limit bureaucratic practices Judicial review – can declare bureaucratic actions unconstitutional or limit bureaucratic practices Can issue injunctions against federal agencies Can issue injunctions against federal agencies Provide due process for individuals affected by bureaucratic action Provide due process for individuals affected by bureaucratic action

President’s oversight? Appoint & remove agency heads Appoint & remove agency heads Issue executive orders Issue executive orders Recommend to reduce an agency’s budget Recommend to reduce an agency’s budget Use office to try and influence agency and policy Use office to try and influence agency and policy

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

Questions for Critical Thinking What could be done to eliminate iron triangles? What could be done to eliminate iron triangles? In modern times, we tend to equate the term “bureaucracy” with “red tape” or inefficiency. How does the goal of neutrality and the need for specialization help reinforce those images? In modern times, we tend to equate the term “bureaucracy” with “red tape” or inefficiency. How does the goal of neutrality and the need for specialization help reinforce those images?

Presidents and Their Plans