CH 13: The Bureaucracy

1. CH 13: The Bureaucracy Ms. Bittman’s AP Government

2. The Nature of Bureaucracy • Presidents can affect them v. little. • AKA “The 4th branch of government” • No mention in the Constitution • Art. II, Sec. 2, prez appoints all other officer of US. • Art. II, Sec. 3, “laws be faithfully executed, and shall commission all the officers of the US” • Bureaucracy: large organization that is structured hierarchically to carry out a specific function.

3. Public and Private Bureaucracies • What can be considered a bureaucracy? • Private corporation: single set of leaders (board of directors), complex problem, division of labor. • Microsoft…? • Public bureaucracy: no single set of leaders, President (administrator) + Congress (funding, staffing) • Serve the citizen, not the stockholder. • Perform functions, no making profit.

4. Bureaucracy v. Bureaucracy • Some bureaus are rather autonomous. • National bureaus -> $ to State bureaus. • Lots of administrative agencies: regulate private companies, even though they have no ownership. • Environmental Protection Agency • Nuclear Regulatory Commission • Securities and Exchange Commission

5. Theories of bureaucracies

6. The Weberian Model • Model of public or private bureaus developed by German Max Weber. • Views them as rational, hierarchical orgs where power flows downwards, and decisions are based on logical reasoning and data analysis, not “gut” feelings and guesswork. • Individual advancement based on merit. • Apolitical.

7. The Acquisitive Model • Top-level bureaucracies seek to constantly expand the size of their budgets and staffs. • Want to gain greater power and influence in the public sector.

8. The Monopolistic Model • Compares bureaus to monopolistic business firms. • Lack of competition ->inefficient and costly operations. • No incentives to reduce costs or use resources more productively. • Some argue for privatization.

9. The Garbage Can Model • Characterized as loose, with little formal organization. • Solutions are found based on trial and error. Not rational policy making. • Choosing the right policy is hard, usually have to try several policies

10. Organization of the federal bureaucracy

11. Cabinet Departments • Major service orgs of the federal gov. • Aka, line organizations: directly responsible to the prez and are responsible for performing public functions. • Printing money, training troops. • Created by Congress. • Prez can ask, but has no power to create or destroy • Headed by Secretary (except for Justice) • Several levels of undersecretaries, assis. sec, ect. • Below the top, permanent staff. Prez .

12. Independent Executive Agencies • Report to Prez. • Congress decides location w/in bureaucracy • Prez often ask that new agency be separate. • Ex • Environmental Protection Agency

13. Regulatory Agencies • Independent of all 3 branches. • Congress felt it could not handle complex, tech required. • Combine some functions of all 3 branches • Legislative: make rules w/ force of law. • Executive: enforce rules. • Judicial: decide disputes concerning rules they made • Head is appointed by prez. Members cannot be from same party.

14. Regulatory Agencies Continued… • Prez influence by appointing people • Cant remove except by causes specified in the law created the agencies. • Agency Capture: gaining direct or indirect control over agency personnel and decision making by the industry that is being regulated. • Less competition • Higher prices • Less choices

15. Regulatory Agencies • Deregulation and Re-regulation: Reagan deregulation happened. • Bush 1, calls for reregulation occurred. • Clinton, deregulation of banking and telecommunications. Regulation to protect environment.

16. Government Corporations • Different than the private corps. • Private has shareholders who elect a board of directors-> corporate officers. • Pay taxes. Profits go to shareholders. • Government corp has board of directors, managers. No stockholders. • If it profits, those go back into the corp.

17. Staffing the bureaucracy

18. Summary • 2 categories. Political appointees and civil servants. • Present makes the political appointments • Also appoints ambassadors (patronage) • Called “political plums”

19. Political Appointees • To fill the positions in the “plum book” (Policy and Supporting Positions) prez solicits suggestions. • Politicians, businesspersons, prominent ppl. • Consider work experience, party, intelligence, character. • Ambassadorships used as reward for campaign contributions. • Ave. term is less than 2 years.

20. Civil Servants • Make up the civil service. • May not feel compelled to carry out a political appointee’s directives. • V. hard to fire. • Less than 1/10 of 1% for imcompetance. • Can appeal • Under the Civil Service Reform Act of 1978, senior employees can be transferred, and get bonuses as incentives for productivity.

21. History of the Federal Civil Service • 1789: amateurs, almost all Federalists. • Thomas Jefferson fired more than 100 and staffed it with the natural aristocracy (small ruling clique of societies ‘best’ citizens) • Next 25 years, grew more professional and more expert. • Administrators stayed in office regardless of prez.

22. History of the Federal Civil Service • 1828: Andrew Jackson shocked by how many hated him and the Dem • Ego grew, aristocracy. • Jackson responded by firing. Instituted the spoils system

23. History of the Federal Civil Service • Civil Service Reform Act of 1883: spoils system eventually became corrupt. • Bureaucracy increased by 300% b/t 1851-81 • Looked at European merit system • 1883 the Pendleton Act was passed • Principle of employment based on competitive exams. • Created the Civil Service Commission • 10%->90% now

24. History of the Federal Civil Service • SC Cases • Elrod v. Burns1976 and Branti v. Finkel of 1980 • First amendment to forbid gov officials from firing or threatening solely for not being supporters of the party unless it’s a requirement. • Rutan v. Rep Party of IL of 1990 • Prevents party considerations as a basis for hiring most public employees. Except for senior policy.

25. History of the Federal Civil Service • Hatch Act of 1939: potential for political manipulation. • FDR’s hiring= loyalty to Dems • Civil Service hiring cannot take an active part in the political management of campaigns. • Prohibits the use of federal authority to influence nominations or elections. • 1972 and 1973, Hatch Act can prohibit political activity.

26. History of the Federal Civil Service • The Civil Service Reform Act of 1978: abolished the Civil Service Commission, created the… • Office of Personnel Management • Recruit, interview, and test potential gov. employee • Merit Systems Protections Board • Oversees promotions, employee’s rights, wrong-doing.

27. Modern Attempts at Bureaucratic Reform • Sunshine Laws: 1976, All multi-headed federal agencies, hold public meetings. • Any gathering, formal or informal. • Exceptions: court proceedings, personnel problems. • Sunset Laws: would place government programs on a definite timetable. • Would be terminated automatically.

28. Modern Attempts at Bureaucratic Reform • Contracting out: gov replaced by private sector. • Private firms operate prisons. • Always argue effieciency • Vouchers are another way. • Schools, housing.

29. Modern Attempts at Bureaucratic Reform • Efficiency and Productivity • Performance based bonus when coming under budget. • Government Performance and Results Act of 1997: goals w/ methods. • Gov is too simple for complex econ. • Aberbach and Rockman: has changed and will continue too. • More an issue of new people at the top.

30. Modern Attempts at Bureaucratic Reform • Helping the whistleblowers: gross governmental inefficiency or illegal actions. • 1978 Civil Service Reform Act • Prohibits retaliation. • Whistleblower Protection Act of 1989: further protection. • False Claim Act of 1986: can receive money when reporting fraud against the US gov.

31. Yes, the person at Very Demotivational who created this image made a typo. Someone should probably create a system whereby there are three proofreaders, each of whom fill out a form documenting that they've checked for errors and then...oh, wait. Never mind.

33. Bureaucrats as Politicians and Policymakers • Congress must delegate • Enabling Legislation: pwr given to agencies to implement leglis. • Cong=vague, agencies make it specific. • Lacks tech skill • Fills in the gap b/t law and practice. • Agency becomes an unelected policymaker.

34. Bureaucrats as Politicians and Policymakers • Rulemaking Environment: proposed regs published in the Federal Registrar. • Must wait 60 days. • Individuals/companies that are unhappy… try and change it. • Persuade to withdraw or change. • Challenged in court • Can ask Cong to overturn it.

35. Bureaucrats as Politicians and Policymakers • Negotiated Rulemaking: want business and IGs to get involved. • Prevents court battles • Negotiated Rulemaking Act of 1990 • Must publish in the Federal Registrar. • Parties then apply to be on the negotiating commit. • Proposed rule then published. • Usually prevented from challenging in court then.

36. Bureaucrats as Politicians and Policymakers • Agency does everything… • Fills out forms, who gets what, evaluation of whether the policy works. • Often called the “Iron Triangle” or Issue Networks: try and balance conflicting demands. • Divided gov does not help. • Issue networks include legislators, staff, IGs, bureaucrats, scholars, media. • Try and influence prez, cong.

37. Congressional Control of Bureaucracy • Authorizes $- can terminate or be renewed automatically (SS). • Once it is created, authorize $ as a formal declaration by the legis commit $ will be there. • When it has to be authorized periodically= more cong pwr • Permanent authorization= almost no pwr.

38. Congressional Control of Bureaucracy • Appropriate Funding- after $ is authorized, appropriations commit of H and S, forward spending to full H and S. • Appropriations of $ when final bill is passed. • Can authorize less $ if it wants.

39. Congressional Control of Bureaucracy • Cong Investigations, Hearings, Review • Oversee agency’s actions, comply with cong intentions. • Officers and employees can be ordered to testify • Congress indicates is position on programs and issues. • CBO also oversees. • GAO or CBO study can lead to cong action. • Can formally disapprove of agency actions through the Congressional Review Act of 1996. • Used only 8 times out of 15,000. Never by H & S.