The Bureaucracy

AP U.S. Government and Politics

Line at the DMV

Getting things done!

Max Weber• German Economist – lived early 20th

century.– Weber’s definition of bureaucracy - a

well organized, complex machine that is a “rational” way for society to organize its business.

– Weber believed in hiring and promotion based on qualities (merit principle) and performance judged on productivity.

• Is this good or bad?

The Federal Bureaucracy• Bureaucracy – a system of organization and control based on

three principles.1. hierarchical authority – chain of command where officials at the

top have control over those below them.2. job specialization – explicitly defined duties for each job position

and a precise division of labor within the organization.3. formalized rules – procedures and established regulations by

which a bureaucracy conducts operations.• Standard Operating Procedures are designed to save time and bring

uniformity to complex organizations.

• Bureaucracy is actually a part of the executive branch, but because of its importance many political scientists consider it the fourth branch.

– bureaucrat – employee of the bureaucracy.• The bureaucracy is in charge of implementing acts

of the legislature and decisions of the courts.– Modern governments could not function without a large

bureaucracy.• Bureaucracy manages thousands of tasks and employees.

– Bureaucrats take an “agency point of view” to promote their agencies programs and power.

– Although agencies are subject to oversight by the president, Congress, and the judiciary, bureaucrats have considerable power.

Origin and Structure of the Federal Bureaucracy• Initially small, the bureaucracy has grown

significantly throughout U.S. history.– U.S. economic growth generated new demands of

government.– The New Deal led to the creation of many bureaucratic

agencies.• Federal employment hasn’t changed much since the

1960s.– This is deceiving, because the federal government now

contracts much of its work to privately owned firms.

Types of Federal Agencies• Today’s federal bureaucracy has about 2.5 million

employees and performs a wide range of functions.– Most bureaucratic units take one of several forms.

• The leading administrative units are the 15 cabinet (executive) departments.– They are major administrative organizations, each having a

responsibility for a major function of the federal government.• Except for Department of Justice, which is headed by Attorney General,

each is headed by a secretary.• Department heads are nominated by the President and confirmed by

the Senate, making the department head directly responsible to the president.– The majority of work in each cabinet department is done in the bureaus, which

divide the work into more specialized areas.

• Independent Executive Agencies do not fall under one of the larger departments.– They resemble cabinet departments, but typically have a narrower

area of responsibility and perform services rather than regulatory functions.

– Heads of these departments report to the president, but are not part of the cabinet.• They are also appointed by the president for a set term.• Examples: CIA, NASA, Smithsonian Institution

• Independent Regulatory Agencies are created when Congress recognizes the need for regulation of a particular activity.– Regulation – the use of government authority to change some

practice in the private sector.– In addition to an administrative function, they also have a legislative

and judicial function.

• Regulatory agencies develop law-like regulations and judge whether individuals or organizations are complying.

– Heads are nominated by president, confirmed by Congress and can only be removed for specific reasons set by law.• Heads of agencies can’t come from the same political party as nominating

president.• Even though the president appoints heads, he doesn’t have direct control

over them.• Examples: EPA, Securities and Exchange Commission (oversees stock

market)

• Government Corporations are similar to private corporations.– They charge for their services, but receive federal funding to help

defray expenses.• They are usually created to supply services that are needed but not very

profitable.

• They are governed by a board of directors.• Examples: FDIC, Amtrak, U.S. Postal Service

• Presidential Commissions provide advice to the president.– Some are permanent, including the Commission on Civil

Rights.– Some are temporary and disband after making

recommendations on specific issues.• The President’s Commission to Strengthen Social Security was

created to study ways to reform social security.

Staffing the Bureaucracy

• Bureaucrats can be divided into two broad categories – political appointments and civil servants.– The president is responsible for making over 2,000

appointments to the federal bureaucracy.• These require Congressional Approval.• They include ambassadors as well as heads of cabinet

departments, regulatory agencies, independent executive agencies.

– The majority of bureaucratic jobs are filled by civil servants, who are hired through the merit system.

• The merit system requires employees to score high on a competitive exam to get a job.

• It is overseen by the Office of Personnel Management and the Merit Service Protection Board hears appeals from those who have been fired or face disciplinary action.

– In the 19th century, jobs were awarded through the patronage system, which rewarded people for services they rendered and for party loyalty.• Many felt that the patronage system turned into a spoils system,

awarding people jobs in exchange for political favors they rendered.

– In 1883, Congress passed the Pendleton Act, establishing a merit system for certain positions.• It allows most bureaucratic positions protection from political

interference.

• Efforts to limit government workers’ roles in political involvement have occurred.

• The Hatch Act (1939) prohibited civil servants from taking activist roles in partisan campaigns.– They couldn’t make political contributions, work for a

party, or campaign for a candidate.• Federal Employees Act of 1993 liberalized the

Hatch Act.– As a result, federal employees now can run for office in

nonpartisan elections and contribute money to campaigns in partisan elections.

The Budgetary Process• The budgetary process is very important to executive

agencies.– Agencies live and die based on the outcome of the budgetary

process, as no agency or program can exist without funding.• The budgetary process begins when the president, in

consultation with the OMB, established general budget guidelines.– Each agency is assigned a budget ceiling that it cannot

exceed.– Agencies receive these guidelines in the spring and work

through the summer to create a detailed budget.

• Agencies seek as much funding as possible for their programs.

– After the president’s budget is finalized, it is submitted to Congress.• It goes to Senate and House budget Committees, who

recommend overall spending levels.• The budget then goes to the House and Senate Appropriations

Committees, which hold hearings from federal agencies – they can either cut or increase that agency’s budget.

– After the Appropriations Committees complete their work, they submit the budget to the full chambers for a vote – if it passes both houses it goes back to the President.• If the president signs it, it goes into effect on October 1.• If agreement on the budget has not been reached, temporary

funding legislation is needed to maintain government operations.

Policy in the Bureaucracy• The main task of a bureaucratic agency is policy

implementation.– Congress creates each agency and outlines its broad policy

goals.• Many mandates created by Congress are vague, allowing experts

in the bureaucracy to handle details of implementation.

– Agencies use the administrative discretion granted to them by Congress to issue rules/regulations to implement policy.• Rules undergo a sixty day waiting period before they are

implemented, allowing hearings and lobbying by affected parties.

– Since bureaucratic agencies were created by Congress, the regulations they issue carry the weight of law.

• Enforcement of regulations often cause political disagreements among various interests in society.– Example: public safety groups vs. industry.

• This competition can cause the bureaucratic process to bog down.

– Implementation, the putting of policies and regulations into action, is the final step for an agency.

– Administrators also develop policy ideas that they then propose to the White House or Congress.

• Overall, administrators initiate policy, develop it, evaluate it, apply it, and decide whether others are complying with it.

Two theories on how bureaucracy is influenced in creating policy:

The Agency Point of View

• In most cases, bureaucrats will take the agency point of view.– This represents they tendency to place the interests of

their agency ahead of priorities sought by the president or Congress.• Many top bureaucrats rise through the ranks of the same

agency.• High-level administrators take jobs in agencies whose missions

they support.

– Agencies are forced to play politics if they want to protect and expand their programs.

Sources of Bureaucratic Power

• Bureaucrats rely on a variety of methods to promote their agency’s interests.– The power of expertise – Bureaucrats have deep

knowledge in their area of policy.• Elected officials rely on this expertise, giving bureaucrats

increased influence.

– The power of clientele groups.• Clientele groups – special interest groups that benefit directly

from the activities of a specific agency, and therefore are strong advocates of that agency.• Clientele groups lobby Congress and the president on behalf of

the agency.

– The power of friends in high places – the president and Congress need the bureaucracy as much as it needs them.• An agency’s resources can help elected officials achieve their

policy goals, and the officials can in turn help the agency through program implementation or funding.• Agencies also have allies in Congress, as programs that support

key voting blocs are likely to have congressional support.

Bureaucratic Accountability

• How are bureaucrats held accountable for the power they exercise?– The president and Congress are held accountable

through election.– Bureaucrats are not elected, but they still hold significant

power.• In most cases, bureaucratic accountability occurs

through the president, Congress, and the courts.

Accountability through the Presidency• Presidents can influence the bureaucracy through

broad initiatives or through issuing executive orders.– In most cases, the president does not have the time or

knowledge to exercise personal oversight over the bureaucracy.

• The president uses a set of management tools to oversee the bureaucracy.– Reorganization – presidents have sought to streamline

the bureaucracy to make it more accountable.– Example: After intelligence breakdown leading to 9/11 attacks,

President Bush created the Office of the Director of National Intelligence – 15 intelligence agencies now report directly to this office.

– Presidential Appointments – for day-to-day oversight, presidents rely on their political appointees.• Top positions in every agency are held by appointees.

– What presidents can accomplish through appointees is often limited.• There are many appointees and many of them lack detailed

knowledge on the agencies they head.• Many are on the job for less than two years before leaving.

– The Office of Management and Budget – gives president control over funding and policy in every agency.• Oversees preparation of budgets and acts as a review board for

agency regulations and policy proposals.• No agency can issue regulations without OMB’s verification that

benefits outweigh costs.

Accountability through Congress• The most substantial power Congress exerts over the

bureaucracy is the “power of the purse.”– Congress has Constitutional authority over spending and

decides how much money will be appropriated for agencies.• Without funding, an agency won’t exist.

– Congress has oversight over the bureaucracy, which involves monitoring it work to ensure compliance with legislation.

– If an agency steps out of line, Congress can call hearings to ask questions and take legislative action to correct the problem.

• The threat of being questioned by Congress can lead administrators to stay in line.

– Congress has delegated much of its oversight authority to the Government Accountability Office (GAO).• It monitors agency spending and whether agencies are

implementing policies the way Congress intended.

• Congress has also designed ways to constrain the bureaucracy before it acts.

• enabling provisions give administrators the authority to implement the law.– Including specific instructions limits bureaucrats’ options.

• Although rare, sunset provisions, establish dates when laws will expire unless changed by Congress.

Accountability through the Courts

• The judiciary can hold bureaucrats accountable by:– Ruling on whether bureaucrats have acted within the

law.• If they haven’t they can require policy changes to comply with

the law.

– Forcing the bureaucracy to respect individuals’ rights.– Ruling on the Constitutionality of all challenged rules and

regulations.• Judges don’t routinely intervene in agency

decisions.

Accountability Within the Bureaucracy– The Senior Executive Service (SES) was created to

develop a group of intermediaries between presidential appointees at the top of agencies and civil servants below.• Members of the SES can’t be fired, but can be assigned to

different bureaucratic positions by the president.

– Administrative law judges settle disputes between an agency and someone who was adversely affected by a decision of that agency.• They usually work within the confines of a particular agency

and specialize in laws and regulations governing its activity.

– Whistleblowing, the reporting of instances of mismanagement, is another way the bureaucracy can be internally checked.• The Whistleblower Protection Act protects from retaliation by

superiors and gives whistleblowers financial rewards if their information results in the government saving money.– Many government officials are still reluctant to report instances of

mismanagement.

– The federal government has made progress in demographic representativeness.• In terms of women and minorities, the bureaucracy is

reasonable representative of the nation’s demographics.– This is less true at the top levels, where 3/5 of managerial and

professional positions are held by white males.

Criticisms of the Bureaucracy– “Red tape” – maze of gov’t rules, regulations, and

paperwork that makes gov’t overwhelming to citizens.– Conflict – agencies that often work toward opposite

goals.– Duplication – agencies appear to do the same thing.– Unchecked growth – agencies expand unnecessarily at

high costs.– Waste – spending more than necessary.– Lack of accountability – difficult in firing an incompetent

bureaucrat.

Reforming the Bureaucracy

• In response to the criticism the bureaucracy receives, there have been many ways suggested to reform it. They include:– Deregulation – reduce the role of government in

overseeing the economy.• Balancing deregulation with public safety and protection is a

frequent conflict.

– Sunshine Laws require many government agencies to make their meetings open to the public.

– Privatization – many feel competition among private firms would make the bureaucracy more efficient.

– Incentives – create performance goals and publish report of plan to meet these goals.

– Some believe that putting term limits on bureaucratic appointments and making it easier to fire a bureaucrat would improve the bureaucracy.

– Rotating individuals between agencies and from outside.– Rewarding employee initiatives.– Fewer rules governing the bureaucracy.– Emphasis on customer satisfaction.