Unit Three: Institutions of Government

1. Unit Three:Institutions of Government Chapter 15: The Bureaucracy

2. The Bureaucracy • Definition • a large and complex organization • of (government) appointed officials • which has several different bodies having control over its actions and direction

3. Organizational chart for the U.S. Department of Agriculture, a typical hierarchical structure (USDA chart, public domain)

4. American Bureaucracy • Political authority is shared among different institutions • Branches of government • Levels of government • Encourages the bureaucratic agency to • Play “mom vs. dad” • Run to the media for help

5. American Bureaucracy • Power and jurisdiction is shared • With similar agencies • At different levels of government

6. American Bureaucracy • “adversary culture” expands bureaucracy • Personal rights at the heart of the matter • Retaining • Expanding • Decisions by agency are legally challenged (often) • US prefers government regulation over government ownership of econ

7. Growth of Bureaucracy • Appointees • Proposed by Madison ( 1789) • For Dept. of State • Nominated by the president • Approved by the Senate • Removable by the president alone • All subsequent departments would follow the above for staffing

8. Growth of Bureaucracy • Congress retains control • Appropriate money • Investigate the administrators • Shape the laws carried out by agency

9. Growth of Bureaucracy • Considerations for the Appointment of Officials • Political ideology is important • Affect how the laws are interpreted • Personal character • Sets the tone of the administration • Competence • Must do the work of the administration • Party affiliation • Reflection of the party in power

10. Growth of Bureaucracy • Nineteenth and twentieth centuries • Appointments were rewards – PATRONAGE • To local supporters of elected officials • Building up the party organization • Reformers wanted to end it

11. Growth of Bureaucracy • Nineteenth and twentieth centuries • It did serve a purpose • Gave president assurance that appointees were supportive • Provided a way for the president to influence a Congressman • Enabled party activities • Build up memberships • Get out the vote

12. Growth of Bureaucracy • Antebellum • Number swells X 8 • Increased demands on established agencies • Civil War • New officials • New offices • Industrialization • Railroads cross nation • “Regulate interstate commerce” – Constitution

13. Growth of Bureaucracy • The Service Role of the bureaucracy • 1861 – 1901 • Pension Office – benefits to Civil War vets • Department of Ag – help farmers • Dep. Of Labor – help workers • Dept. of Commerce – help businessmen • Interstate Commerce Commission – help consumers by regulating the economy

14. Growth of Bureaucracy • The Service Role of the bureaucracy • 1861 – 1901 • Services • Research • Gather statistics • Gave out fed. Lands • Pass out benefits

15. Growth of Bureaucracy • The government’s role (early years) • Promote the economy not regulate Laissez-faire!!!! • Congress could not regulate all the (commerce) • Supreme Court said Congress couldn’t delegate this power to executive branch • Congress had to set down clear guidelines for each agency’s every decision

16. Growth of Bureaucracy • The government’s role (early years) • Effects of war on size of bureaucracy • Rises during the war • Does NOT return to pre-war levels after

17. Growth of Bureaucracy • The Change in the role of the bureaucracy • New Deal • World War II • 9-11???? • Government was to be ACTIVE • Economy • Social issues

18. The Federal Bureaucracy Today • Not good to admit the bureaucracy grew during your tenure • The numbers game at the fed level • DIRECT employment roughly the same at fed. level • INDIRECT has skyrocketed at fed. level • All employment rates have ballooned at state and local levels

19. The Federal Bureaucracy Today • Power of the modern bureaucracy • Discretionary authority • Ability to choose course of action without constraints • Ability to make policy without constraints • Three areas of (relatively) great authority • Paying subsidies to groups and orgs. • Transferring money from federal to state government • Devising and enforcing regulations

20. The Federal Bureaucracy Today • Four Factors of top officials’ behaviors • Recruit and reward system • Designed to use merit as the basis of hiring • Competitive Service • Pass written exams • Possess some kind of selective talent • Ranked on basis of scores

21. The Federal Bureaucracy Today • Four Factors of top officials’ behaviors • Recruit and reward system • Designed to use merit as the basis of hiring • Has become decentralized • Office of Personnel Management has become less important • Cumbersome • The tests were less relevant to today’s world • Agencies often hire for themselves • Need specially trained employees • Can’t be ranked on a standardized test • Civil Rights groups push for racial fairness

22. The Federal Bureaucracy Today • Four Factors of top officials’ behaviors • Recruit and reward system • Designed to use merit as the basis of hiring • Excepted Service • Those appointed to jobs who do not take the competitive service exams, talent search etc. • Presidential Appointments authorized by law • Confidential level employees • Non-career executive assignments

23. The Federal Bureaucracy Today • Four Factors of top officials’ behaviors • Recruit and reward system • Designed to use merit as the basis of hiring • Excepted Service • Non-career executive assignments • Advocates of a presidential policy • High ranking GS (Government Service) levels • SUPER GS (GS 16 – GS 17) • Now SES (Senior Executive Service) • Top level managers • More easily hired, fired, moved etc.

24. The Federal Bureaucracy Today • Four Factors of top officials’ behaviors • Recruit and reward system • Designed to use merit as the basis of hiring • Patronage has been around a long time • Pendleton Act passed by Republicans because of • Public outrage • Fear of purges if they ever lost election

25. The Federal Bureaucracy Today • Four Factors of top officials’ behaviors • Recruit and reward system • Designed to use merit as the basis of hiring • Name Request Job • Filled by a person who is already WANTED by the organization • Tailor-made job description • The Buddy System!!!

26. The Federal Bureaucracy Today • Four Factors of top officials’ behaviors • Recruit and reward system • Firing a bureaucrat • Mostly entrenched positions • Takes a LOT of effort to fire • Better to force out • Deny promotions • Transfer to nasty positions • Give them menial tasks

27. The Federal Bureaucracy Today • Four Factors of top officials’ behaviors • Recruit and reward system • The Agency Man • Has an agency point of view • Top managers are experts • They continue to same (similar) policies within the agency • Win support of subordinates or pay the price • They (subordinates) can …. • Slow down at work • Withhold information • Follow every rule to the letter • Go to friend in Congress and get help

28. The Federal Bureaucracy Today • Four Factors of top officials’ behaviors • Personal Attributes determine behavior • Social class • Education level • Political beliefs • Political sabotage? • No good evidence that it does • Occupation roles are too structured • Whistle Blower Protection Act protects those inclined to make agency changes by showing “warts and all” of the agency

29. The Federal Bureaucracy Today • Four Factors of top officials’ behaviors • Culture and Career • Often jobs lack freedom to approach situation inventively • Spelled out by law • Agency routine • Agency culture – the attitudes of fellow employees in the agency • Motivates you to work harder • Makes change difficult

30. The Federal Bureaucracy Today • Four Factors of top officials’ behaviors • Constraints • Hiring bylaw • Firing by law • Building by law • Selling by law • Pay scale by law

31. The Federal Bureaucracy Today • Four Factors of top officials’ behaviors • Constraints • Pay scale by law • Congress • Agency goals • Agency procedures

32. The Federal Bureaucracy Today • Four Factors of top officials’ behaviors • Constraints • Statutes • Admin. Procedure Act – agencies must hold public hearings before changing a rule or policy • Freedom of Info. Act – citizens can inspect all gov’t records (except national security/secrets etc.) • National Environ. Act – environmental impact statement • Privacy Act – files on individuals must be kept private • Open Meeting Law – agency meetings must be open to public

33. The Federal Bureaucracy Today • Four Factors of top officials’ behaviors • Constraints • Effects • Slow to act • Sometimes inconsistent • Easy to block, hard to move forward • Little incentive at the bottom to “stick one’s neck out” and be inventive • Red tape!

34. The Federal Bureaucracy Today • Agency Allies • Client Politics • Tight, mutually advantageous alliance • Iron Triangle • Less common today • See diagram on next slide

35. The Federal Bureaucracy Today

36. The Federal Bureaucracy Today • Issue Network • Reflects the more complicated reality of today • See diagram below

37. The Bureaucracy –Congressional Oversight • Congressional supervision • No agency may exist without congressional approval • Except a few presidential offices and commissions • Agency behavior determined by Congressional statues

38. The Bureaucracy – Congressional Oversight • Spending money • Must first be authorized by Congress • Authorization legislation • Starts in committee • Details max spending on programs • Time constraints on authorization • Permanent • Fixed period • Annual

39. The Bureaucracy – Congressional Oversight • Funds must be appropriated by Congress • Originates in the House Appropriations Committee • Huge power • Tends to cut requested budgets down • So ask for twice as much as you really need • Anything more than that is icing!

40. The Bureaucracy – Congressional Oversight • Funds must be appropriated by Congress • HAC has lost some power • Congress has established trust funds • To pay benefits • Operate outside the gov’t. budget • Automatic budgets

41. The Bureaucracy – Congressional Oversight • Funds must be appropriated by Congress • HAC has lost some power • Changing from permanent to annual authorizations • Budget deficits • Focus on spending limits • Not focused on merits of programs

42. The Bureaucracy – Congressional Oversight • Informal influences • A phone call from a Congressman • Committee clearance • Committee chairs consulted before action is taken by bureaucracy • Not legally binding, but in agency’s best interest to comply

43. The Bureaucracy – Congressional Oversight • Legislative Veto • Executive decision over an agency must pass through Congress • Congress can veto the executive decision • Declared Unconstitutional in 1983 • Congress still does it • Must be challenged in SCOTUS

44. The Bureaucracy – Congressional Oversight • Congressional Investigation • INFERRED from the power to legislate • Declared CONSTITUTIONAL by SCOTUS • May not be for exposing personal affairs of private citizens • May not operate to deprive citizens of basic rights • Subpoena • Person is compelled to appear • Refusal = contempt • Executive Privilege can be used for security reasons

45. The Bureaucracy Bureaucratic Pathologies (problems) • Most assume “all bureaucracies are alike” • Five major problems • Red tape • Rules and procedures which must be followed • Defense of • Must have way of ensuring that all parts of agency are working in concert • Need to satisfy requirements • Legal • Political • Insulates from accusations of “political favoritism” • Avoid annoying either Legislative or Executive branch

46. The Bureaucracy Bureaucratic Pathologies (problems) • Five major problems • Conflict • Working at odds against another agency • Congress sets up conflicting agencies • Different goals from different congressmen • Goals are not “prioritized” so they are ALL present

47. The Bureaucracy Bureaucratic Pathologies (problems) • Five major problems • Duplication • Two agencies doing the same thing • Congress sets up conflicting agencies • Different goals from different congressmen • Goals are not “prioritized” so they are ALL present • **it’s also easier to create a new agency than it is to revise an old one**

48. The Bureaucracy Bureaucratic Pathologies (problems) • Five major problems • Imperialism • Agency grows and grows • No regard to effects of benefits • No regard to budget constraints • Congress’s role in imperialism • Legislation of vague goals • Success (or lack of) difficult to judge • Expand • To please everyone • To please interest groups

49. The Bureaucracy Bureaucratic Pathologies (problems) • Five major problems • Waste • Spend way more than necessary • Weak incentives to keep costs low • Lots of exaggeration from agencies • Red Tape • Adds to cost • Buy American only • Hire contractors based on categories, not costs • Pay “prevailing” wages • Protects the Agency

50. The Bureaucracy • Ironies • Cutting red tape might increase conflict and duplication • To reduce waste, you need more red tape • People like the bureaucratic agencies they have worked with, but they dislike “The Bureaucracy” Get it? It’s a major “pair-o-ducks”!!!