Chapter 13- The Federal Bureaucracy:

                                (1). Define what a bureaucracy is, and summarize its key characteristics and its nature.

                                (2). Examine the structure, organization, roles and tasks of the Federal Bureaucracy.                                       
                        (3). Examine the President’s Cabinet and discuss their key departmental responsibilities.

                                (4). Contrast the diverse functions of the Executive Departments, Independent  

                                Regulatory Commissions, Government Corporations, and Independent Agencies.

                                (5). Contrast the key tasks of rule administration, rule making, and rule adjudication.

                                (6). Examine the development & growth of the Bureaucracy’s power and responsibilities.

                                (7). Outline how the Federal Personnel System has evolved and changed, and discuss the spoils system, patronage and the Civil Service System and its attempted reforms.                                            
                        (8). Examine the Federal Bureaucracy's political character, goals, and resources.

                                (9). Outline the ways that Congress, the President, Interest Groups, and other agencies

                                 place constraints on the Federal Bureaucracy.

                            (10). Explain the "iron triangle" theory and contrast it with the rise of issue networks.

                            (11). Assess the recent efforts to reform or "reinvent" the Federal Bureaucracy.

 

 

 

Chapter 13: The Federal Bureaucracy

v   13-1 What Is Bureaucracy?

Ø    Definition:

§        Government agencies that implement government policies

·       Bureaucracies are characterized by (Max Weber model)

¨     Specialization => specialized duties (see Text)

¨     Hierarchy => hierarchical system of authority

¨     Formality => formalized set of rules & procedures

¨     Record-keeping => written records kept routinely

¨     Professionalization => a permanent competent staff

 

 

 

 

 

v   13-2 Structure and Tasks of the Federal Bureaucracy

§       13-2a Types of Federal Agencies (Figure 13-1):

·       Executive Departments (Slide & Figure 13-2))

¨     Cabinet appointed by the president

¨     Confirmed by Senate with its advice & consent

·       Independent Regulatory Commissions

¨     Small commissions w/greater independence

Ø    Fix terms – can only be fired “for cause”

·       Government Corporations

¨     Government companies that serve Public for fee

¨     Suppose to be self supporting (example?)

Ø    Communications, energy, insurance

·       Independent Agencies (Slide)

¨     Not part of Exec Dept w/sub-cabinet rank*

Ø    NASA, EPA,  *(Exception: CIA)

Ø    All heads serve at Pleasure of President

§       13-2b The Tasks of the Federal Bureaucracy (Fig 13-3):

·       Rule administration (Bread & butter function)

·       Rule making (putting general principles into regs)

·       Rule adjudication  (determining if rules are followed)

v   13-3 Development of the Federal Bureaucracy

§       13-3a Constitutional Foundations:

·       Role of Congress & the President

¨     Shared powers to devise & operate Bureaucracy

¨     President’s power to appoint & ensure laws executed

·         Constitutional hybrid

¨     Created by Congress

¨     Directed by the President

¨     Accountable to both

§       13-3b The Growth of the Federal Bureaucracy:

·       See Figure 13-4=> to  1945 highpoint (3.8M)

·       3 original executive departments (DOS, DOW, DOT)

¨     Plus Attorney General & Postmaster General

·       Major growth begins between 1931=> 1945 (why?)

·       Per capita growth & spending (Figure 13-5)

¨     US population growth (to 300M) =>

¨     Federal Bureaucrats now doing more with less   

§       13-3c Expanding Functions of the Federal Bureaucracy:

·       Four major categories of functions:

¨     National Maintenance

¨     Clientele Services

¨     Regulation of Private Sector

¨     Income Redistribution  

·       National Maintenance

¨     Collect tax revenue

¨     Defend the Nation

¨     Conduct foreign relations

¨     Enforce Federal laws

¨     Promote internal communications

·       Clientele Services (mid-19th century =>)

¨     Serve particular needs of influential Interest Groups

Ø    Agencies created to serve clients’ special interest

Ø    Dept of Agriculture

Ø    Bureau of Labor => Dept of Commerce & Labor

Ø    1930s New Deal=> Federal activism expands =>

Ø    Dept of HEW => Dept of Health & Human Svs

Ø    1960s Great Society => LBJ’s war on poverty

§       Dept of Housing& Urban Development

Ø    Dept of Transportation

Ø    1970’s Energy Crisis => Dept of Energy

Ø    1989 => Dept of Veteran’s Affairs

Ø    9/11/2001 => Homeland Security (2003)

·       Regulation of Private Sector

¨     Responsibility or regulating American economy

Ø    ICC, Federal Reserve, Federal Trade Commission

¨     1960s=> Regulate Society (Social)=> EPA, OSHA      

·       Income Redistribution

¨     Shift $$$ either directly or indirectly

Ø    Direct payments to poor individuals:

§       Social Security (elderly) & AFDC (minors)

Ø    Some programs transfer $$$ to wealthy:

§       Dept of Agriculture programs (wealth farmers)

§       Social Security payments to wealthy retirees

¨     Not always a one way street (i.e. from rich to poor)   

§       13-3d Changes in Fed Bureaucracy’s Personnel System:

·       Government by Gentlemen (a calling or duty)

·       Spoils System (Andrew Jackson)

¨     Patronage – political supporters appointed

·       Civil Service System=>

¨     The role to the Pendleton Act of 1883 (Garfield)

Ø    Jobs based on merit (from 10% to 80+ %)

¨     General Schedule Classification  System

¨     Civil Service Reform Act of 1978 (Carter)

Ø    Office of Personnel Management

Ø    Merit System Protection Board

Ø    Senior Executive Service (SES)

·       A work in progress (trying to fire a bureaucrat)

¨     Home Land Security (exception to the rule)    

v   13-4 The Politics of the Federal Bureaucracy

§       Theory versus Reality

§       13-4a Political Character of the Federal Bureaucracy:

·       Theory: political neutrality & competence (Max Weber)

¨     Mechanically implement laws & policies

¨     Always act in Public’s best interest

·       Reality: Inherently political institutions

¨     Translate principles & goals=> concrete programs

¨     Take board policies & laws => detailed regulations

¨     Range of Discretion => and conflicting guidance

Ø    President vs. Congress intentions often compete

·       Result: serve two masters by playing one off the other

¨     Exercise discretion => freedom to shape own rules

¨     Consistent with their own best interests

Ø     Belief: what’s good for them is good for the USA   

§       13-4b The Goals of the Federal Bureaucracy:

·       Mission goals=> what it does is important

·       Survival goals-> grow & prosper

·       Potential threats=> conflict with other political actors:

¨     Congress, Prez, IGs, other agencies, state/local govs

¨     Lifeblood of bureaucracy => Power (zero/sum game)

·       Constant competition for power, influence, & growth   

§       13-4c The Political Resources of Federal Bureaucracy:

·       Administrative Discretion

¨     Rule-making responsibility => exercise discretion=>

Ø    Power how to shape & administer policy (EPA)

·       Clientele Support

¨     Correlation of agency’s power w/that of its clientele

¨     DOD versus DOS=> who’s most likely to win?

Ø    Domestic vs. foreign clients & the captive agency

·       Agency Expertise

¨     Education, experience, & specialized knowledge

¨     Critical factors affecting value of expertise:

Ø    Extent that agency is only one with the expertise

Ø    Size of the knowledge gap with other “experts”

¨     Example: NASA versus DOS & foreign policy

·       Effect of differences in Agency Power

¨     Mission & survival goals affected by all of above

¨     Strong clients, great expertise, more knowledge =>

Ø    More say & power=> more likely to survive

¨     All affect status & pecking order in Washington


Ø    13-4d Political Constraints on the Federal Bureaucracy:

·       Congress=> Article I’s enumerated powers:

¨     Create (modify or abolish)

¨     Determine Bureaucracy’s structure & responsibility

¨     Appropriate funds to accomplish responsibilities

¨     Implied powers: Oversight (GAO & CRS)

¨     Committee’s role & IG’s influence on Congress

·       President => Article II enumerated & implied powers  

¨     See laws are faithfully executed

¨     Appointment powers=> influence who heads agency

Ø    Shape how policies are implemented

¨     Budget proposals & legislation to Congress

Ø    Power of the veto threat

¨     Power to reorganize structure & reassign functions

¨     OMB=> clear all new agency regulations (Fig 13-3)    

·       Interest Groups=>turn to president, Congress, or Courts

·       Other Agencies=> overlapping responsibilities

¨     On-going competition for power & influence

¨     FBI vs. CIA vs.  DOS vs. DOD (check & balance)

·       The Courts=> politically immune during deliberations

¨     Determine if rules exceed authority or not lawful     

§       13-4e Alliances and the Federal Bureaucracy:

·       Iron Triangles (Figure 13-6)

¨     Effective when interest & impact are very narrow

¨     Downside: narrow interests that benefit the few

Ø    Taxpayers (Public) pay for these special benefits